Corey Walker Resigns from Northwestern Mutual Investment Services

Corey Walker (CRD #: 6578396), a broker registered with MML Investor Services, resigned from his previous firm, according to his BrokerCheck record, accessed on August 13, 2022. If you have questions about Corey Walker’s conduct as a broker, keep reading.

Resignation from Northwestern Mutual Investment Services

On June 17, 2022, Corey Walker resigned from Northwestern Mutual Investment Services following allegations involving his non-variable life insurance application practices and staff compensation practices.

Investigation by the State of New Hampshire

On July 29, 2021, the New Hampshire Insurance Department began an investigation into Corey Walker’s non-variable life insurance application practices and certain marketing emails he allegedly sent to prospective clients.

FINRA Rule 2210 

Under FINRA Rule 2210, a registered principal with the firm must review any retail communications brokers send to the public. Marketing emails must comply with FINRA and SEC regulations and are prohibited from including misleading information. 

FINRA Rule 2010

Many violations of FINRA rules also violate FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor and just and equitable principles of trade.

Background Information

Corey Walker has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• Series 7TO – General Securities Representative Examination
• SIE – Securities Industry Essentials Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

Corey Walker is a registered broker in eight states and a registered investment adviser in New Hampshire and Texas.

He previously worked for Northwestern Mutual Investment Services (CRD#:2881).

Kurta Law Can Help

If you worked with Corey Walker 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.