Erik Pinter is the Subject of a Suitability Dispute

Erik Pinter (CRD #: 3104704), a broker registered with LPL Financial, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on April 3, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On January 24, 2024, an investor alleged that Erik Pinter recommended an investment that was unsuitable for the investor’s objectives and risk tolerance.

What is an Unsuitable Investment?

FINRA Rule 2111 requires brokers to evaluate whether an investment strategy fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains the following investor characteristics:

• Age
• Risk tolerance
• Time horizon (i.e., how long the investor plans to hold the investment)
• Investing experience
• Tax status
• Financial goals

Investors who rely on brokers for recommendations may be able to recover losses from unsuitable investment recommendations by pursuing FINRA arbitration.

Background Information 

Erik Pinter has passed the following exams: 

• Series 66 Uniform Combined State Law Examination
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 24 General Securities Representative Examination 

He is a registered broker and investment adviser in Indiana and Wisconsin. He is also a registered broker in Illinois. 

During his 24 years of experience, Erik Pinter has registered with the following firms: 

• LPL Financial (CRD #: 6413) 
• UVest Financial Services Group (CRD #: 13787) 
• Vision Asset Management (CRD #: 110412) 
• Fiserv Investment Services (CRD #: 46609) 
• Associated Investment Services (CRD #: 1464) 
• Edward Jones (CRD #: 250) 

Kurta Law Can Help 

If you have worked with Erik Pinter and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.