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Stephanie Hogan Allegedly Purchased Unsuitable Investments

Stephanie Hogan (CRD #: 6983241), a broker registered with Edward Jones, allegedly purchased unsuitable investments, according to her BrokerCheck record, accessed on August 26, 2022. Keep reading if you have questions about her conduct as a broker.

Investor Dispute

On July 15, 2022, an investor alleged that Stephanie Hogan made purchases on May 27 that were not suitable given his risk tolerance and investment objectives. This dispute is pending.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to consider investors’ financial goals when recommending investments. Brokers must use the information in an investor’s profile, such as their risk tolerance, investment goals, tax status, and overall financial situation.

Investors who believe they have lost money due to unsuitable investment recommendations may be able to recoup their losses through FINRA arbitration.

Violations of FINRA Rule 2111 also violate FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor and just and equitable principles of trade.

Background Information

Stephanie Hogan has passed the following exams:

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

Stephanie Hogan is a registered broker in 17 states and a registered investment adviser in Arkansas and Texas.

Kurta Law Can Help

If you worked with Stephanie Hogan and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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. 

 

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