Last Updated: January 2024 (Borger, Texas)
Jody Holt Investigation Summary
Here’s what you need to know about Borger, Texas, registered investment advisor Jody Holt:
- Name: Mr. Jody Lee Holt
- Current Employer: Holt Wealth Management (RIA), Not currently registered with FINRA
- Previous Firms: Kenai Investments (RIA) , Raymond James Financial Services
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Jody Holt
- Primary Location: Borger, Texas
- CRD 6405025
- Sanctioned by FINRA: No
- Discharged by a former employer: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Jody Holt As Your Stockbroker?
In 2022 Jody Holt was discharged by Kenai Investments who make the following allegation on the official SEC record: Mr. Holt engaged in excessive trading in 2 client accounts and ran advertisements prior to those advertisements being approved by compliance.
Allegations of Misconduct Against Jody Holt
A prior employer of Jody Holt has alleged the following wrongdoing in connection with the handling of customer accounts:
- Excessive trading (Churning)
- Violation of firm advertisement policy
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Jody Holt, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
