Alex Holliman Fired Following Allegations of Forgery
Alex Holliman (CRD #: 4513418), a previously registered broker, was recently fired by Silver Oak Securities in Columbus, Mississippi. This is according to his BrokerCheck record, accessed on October 20, 2021. For more details on the allegations that preceded his termination, keep reading.
On October 1, 2021, Silver Oak Securities fired Alex Holliman following allegations that he copied and pasted a client signature from a prior document and affixed the signature to a new document. According to FINRA Rule 4511, brokers have an obligation to maintain accurate firm records. The rule states that firms “shall make and preserve books and records as required under the FINRA Rules, the Exchange Act and the applicable Exchange Act rules.” This rule applies to customer account information, communications between brokers and investors, as well as records of written customer complaints.
Brokers who copy investor signatures also fail to uphold FINRA Rule 2010, which states that a broker “shall, in the conduct of business, observe high standards of commercial honor and just and equitable principles of trade.”
Alex Holliman Background Information
Alex Holliman has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Series 6TO Investment Company Products/ Variable Contracts Representative Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
Alex Holliman has worked for the following firms:
- Silver Oak Securities (CRD #: 46947)
- LPL Financial (CRD #: 6413)
- Mutual Service Corporation (CRD #: 4806)
- FFP Securities (CRD #: 16337)
Kurta Law Can Help
If you lost money while working with Alex Holliman, please contact us today at 877-600-0098 or firstname.lastname@example.org 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 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.