Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Colorado-based Edward Jones broker/adviser David Bartfield has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bartfield (CRD# 4511930).
David Bartfield has spent 14 years in the securities industry and has been registered with Edward Jones in Aurora, Colorado since 2013. Previous registrations include WTS Proprietary Trading Group in New York, New York (2012-2013); AXA Advisors in Denver, Colorado (2010-2012); Northwestern Mutual Investment Services in Denver, Colorado (2009); Jackson National Life Distributors in Denver, Colorado (2007-2008); AG Edwards & Sons in Milwaukee, Wisconsin (2006-2007); Chase Investment Services Corporation in Chicago, Illinois (2005-2006); Banc One Securities Corporation in Chicago, Illinois (2005); and RBC Dain Rauscher in New York, New York (2002-2004). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 22, 2013; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on May 2, 2002. He is a registered broker and investment adviser with 13 US states and territories: Alabama, Arizona, Colorado, Florida, Illinois, Maryland, Michigan, New Jersey, New Mexico, Texas, Virginia, Washington, and Wisconsin. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one pending customer complaint.
In October 2018 a customer alleged David Bartfield, while employed at Edward Jones, recommended unsuitable investments, failed in his supervisory duties, violated FINRA conduct rules governing fair dealing with customers and the observation of high standards of commercial honor, negligently misrepresented and omitted material facts, and violated Colorado securities law in connection to a variable annuity investment. The customer is seeking $200,000 in damages in the pending complaint.
If you or someone you know has complaints regarding David Bartfield, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.