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Bill Unger Subject of FINRA Suspension

Aug 3, 2023 FINRA Suspension

Bill Unger (CRD #: 2334575), a broker formerly registered with Edward Jones, has been suspended by FINRA. This is according to his BrokerCheck record, accessed on July 25, 2023. Concerned investors should keep reading. 

On May 31, 2023, FINRA suspended Bill Unger, alleging that he failed to respond to the regulator’s requests for information, in violation of FINRA Rule 9552. 

FINRA Rule 9552 states that members who fail to provide documents, information, or testimony requested by FINRA will be suspended. Members who fail to request an end to their suspension will be barred.

If Bill Unger fails to request the termination of his suspension within three months, he will be barred on September 5, 2023. 

Civil Lien 

Bill Unger became the subject of a civil lien for $62,472.97 on September 13, 2019. 

Background Information 

Bill Unger has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 
  • Series 24 General Securities Principal Examination 

He has worked for the following firms: 

  • Edward Jones (CRD #: 250) 
  • Pruco Securities (CRD #: 5685) 
  • Signator Investors (CRD #: 468) 
  • John Hancock Mutual Life Insurance Company (CRD #: 5181) 

Kurta Law Can Help

If you worked with Bill Unger 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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