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FINRA Suspends Austin Kiick for Alleged Failure to Provide Information

Austin Kiick (CRD #: 7356812), a broker formerly registered with Equitable Advisors, has been suspended by FINRA, according to his BrokerCheck record, accessed on March 28, 2023. If you have questions about his alleged conduct as a broker, keep reading.

FINRA Suspension

On January 24, 2023, Austin Kiick received a Letter of Suspension for allegedly failing to respond to FINRA requests for information. His suspension took effect on February 17, 2023, and will continue until FINRA receives the requested information or the suspension converts to a bar.

FINRA Rule 9552

FINRA Rule 9552 penalizes members who fail to provide documents, information, or testimony requested by FINRA with a suspension. Members have the opportunity to request an end to their suspension within three months of its imposition, after which it becomes a permanent bar.

Background Information

Austin Kiick has passed the following exams:

  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination

He previously worked for Equitable Advisors (CRD#:6627).

Kurta Law Can Help

If you worked with Austin Kiick 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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