Bob Boschke Permitted to Resign from CFD Investments
Bob Boschke (CRD #: 2813139), a broker previously registered with CFD Investments, has been suspended by FINRA, according to his BrokerCheck record, accessed on June 25, 2022. If you have questions about Bob Boschke’s conduct as a broker, keep reading.
Resignation from CFD Investments
On April 19, 2022, Bob Boschke was permitted to resign from CFD Investments after allegedly engaging in an outside business activity that he failed to disclose to his firm. Bob Boschke allegedly provided a client with ongoing advisory services in exchange for an automobile owned by the client.
FINRA Rule 3270
FINRA Rule 3270 requires brokers to disclose to their firms any outside business activities they participate in, including their role in the business and what compensation they may receive.
Resignation from Wealth Management Group
On February 1, 2021, Bob Boschke was permitted to resign from Wealth Management Group following his alleged impersonation of a client while employed by LPL Financial.
Discharge from LPL Financial
On January 31, 2021, Bob Boschke was fired from LPL Financial after allegedly impersonating a client while on call with an annuity company to obtain an account statement for processing the transfer of a variable annuity as part of the client’s divorce settlement.
FINRA Rule 2010
Impersonation of a client violates FINRA Rule 2010, which holds brokers to high standards of commercial honor and ethical conduct.
Bob Boschke has passed the following exams:
- Series 65 – Uniform Investment Adviser Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
In the past, he has worked for the following firms:
- CFD Investments (CRD#:25427)
- LPL Financial (CRD#:6413)
- Raymond James Financial Services (CRD#:6694)
- Primevest Financial Services (CRD#:15340)
- Uvest Financial Services Group (CRD#:13787)
- Focused Investments (CRD#:37532)
- Associated Investment Services (CRD#:1464)
- Nations Financial Group (CRD#:44181)
- Robert W. Baird & Company (CRD#:8158)
Kurta Law Can Help
If you worked with Bob Boschke and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.