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Charles Hawthorne Fired from Raymond James & Associates

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
February 23, 2023 at 9:58pm

Charles Hawthorne (CRD #: 5452789), a broker formerly registered with Raymond James & Associates, allegedly violated firm policy, according to his BrokerCheck record, accessed on February 14, 2023. If you have questions about his alleged conduct as a broker, read on.

Termination from Raymond James & Associates

On January 9, 2023, Charles Hawthorne was fired from Raymond James & Associates following allegations that he used his corporate charge card for personal expenses.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Using a corporate charge card for personal expenses may violate this rule. 

Background Information

Charles Hawthorne 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 10 – General Securities Sales Supervisor – General Module Examination
  • Series 9 – General Securities Sales Supervisor – Options Module Examination

He has also worked for the following firms:

  • Raymond James & Associates (CRD#:705)
  • Scottrade (CRD#:8206)
  • Fidelity Brokerage Services (CRD#:7784)

Kurta Law Can Help

If you worked with Charles Hawthorne 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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