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Brian Vaught Allegedly Misrepresented a Managed Account Investment

Brian Vaught (CRD #: 4640701), a broker registered with JP Morgan Securities, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on July 22, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On May 24, 2024, an investor alleged that Brian Vaught misrepresented a managed account investment. The investor sought $56,000 but the dispute was denied. 

Misrepresentation 

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule. 

Background Information 

Brian Vaught has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 39 states and the Virgin Islands. He is a registered investment adviser in Colorado and Texas. 

During his 21 years of experience, Brian Vaught has registered with three firms: 

  • JP Morgan Securities (CRD #: 79) 
  • Chase Investment Services Corp. (CRD #: 25574) 
  • Banc One Securities Corporation (CRD #: 16999) 

Kurta Law Can Help 

If you have worked with Brian Vaught and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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