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Charles Jumet Permitted to Resign Following Outside Business Allegations

Mar 17, 2022 Outside Business Activities

Charles Jumet (CRD #:5958643), a formerly registered broker, was recently permitted to resign from his position at Chickasaw Securities after allegedly failing to adequately disclose his outside business activities and private investments. This is according to his BrokerCheck record, accessed on March 12, 2022. 

FINRA Rules 3270 and 2010

By failing to disclose his outside business activities to his firm, Charles Jumet allegedly violated FINRA Rules 3270 and 2010. 

FINRA Rule 3270 requires that brokers provide written notice to their firms regarding their outside business activities. FINRA Rule 3280 prohibits undisclosed private securities transactions. Brokers must disclose their private securities transactions as well as any selling compensation they may receive. 

Violations of FINRA Rule 3270 and FINRA 3280 also constitute a violation of FINRA Rule 2010, which requires registered representatives to observe high standards of commercial honor and just and equitable principles of trade. 

Charles Jumet has no business listed in the Outside Business Activity of his detailed BrokerCheck report

Background Information

Charles Jumet has passed the following exams:

  • Series 66 - Uniform Combined State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination

Besides Chickasaw Securities, Charles Jumet has also  worked with Wells Fargo Advisors (CRD#:19616).

Kurta Law Can Help

If you have been victimized after working with Charles Jumet, 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.