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Anthony Kontoleon Fired from Credit Suisse Securities

Anthony Kontoleon (CRD #: 2929209), a broker formerly registered with Credit Suisse Securities (USA), was fired from the firm, according to his BrokerCheck record, accessed on September 17, 2022. If you have questions about his conduct as a broker, keep reading.

Termination from Credit Suisse Securities (USA)

On July 22, 2022, Anthony Kontoleon was fired from Credit Suisse Securities following allegations that he violated firm policy by conducting firm business using his personal mobile device. 

FINRA Rule 4511 

FINRA Rule 4511 requires firms to maintain books and records. Because of this requirement, brokers should only communicate with clients through firm-approved channels. 

FINRA Rule 2010

FINRA Rule 2010 requires brokers to uphold high standards of commercial honor and just and equitable principles of trade. Brokers are also required to follow their firm’s policies.

Background Information

Anthony Kontoleon has passed the following exams:

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

He previously worked for Credit Suisse Securities (USA) (CRD#:816).

Kurta Law Can Help

If you worked with Anthony Kontoleon 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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