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Brian Kuhn Fired Following Outside Business Allegations

Nov 2, 2021 Fired Brokers

Brian Kuhn (CRD #: 2779969), a former registered broker and investment advisor, has been fired from his position at P.J. Robb Variable Corporation, according to his BrokerCheck record, accessed on October 27, 2021. Details surrounding his termination have been provided below.

Employment Termination Details

On August 2, 2021, P.J. Robb Variable Corporation fired Brian Kuhn following allegations that he failed to disclose an outside business activity. Brian Kuhn does not have any outside businesses disclosed on his detailed BrokerCheck report, where any outside businesses should appear. 

FINRA Rules 3270 and 2010

FINRA Rule 3270 requires that brokers provide written notice to their firms regarding their outside business activities. It further states that no broker may serve as an employee, independent contractor, sole proprietor, director, or have the reasonable expectation of compensation as a result of any business activity outside of the scope of their relationship with their firm, unless they provide prior written notice to their firm. A violation of FINRA Rule 3270 also constitutes a violation of FINRA Rule 2010, which requires registered representatives to observe high standards of commercial honor and just and equitable principles of trade. 

Brian Kuhn Background Information

Brian Kuhn 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 6 -Investment Company Products/Variable Contracts Representative Examination
  • Series 55 - Limited Representative-Equity Trader Exam
  • Series 62 - Corporate Securities Limited Representative Examination

Brian Kuhn has worked with the following firms:

  • J. Robb Variable Corporation (CRD#: 38339)
  • Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691)
  • TD Ameritrade (CRD#: 7870)
  • Metropolitan Life Insurance Company (CRD#: 4095)
  • Metlife Securities (CRD#: 14251)
  • Schwab Capital Markets (CRD#: 2692)
  • Knight Securities (CRD#: 38599)
  • Hornblower Fischer & Co. (CRD#: 10885)
  • WORLDCO, L.L.C. (CRD#: 24673)
  • LT Lawrence & Co. (CRD#: 31956) FINRA expelled the firm on 02/04/2000

Kurta Law Can Help

If you lost money while working with Brian Kuhn, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com 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.