Daniel Bicket Barred by FINRA
Daniel Bicket (CRD #: 1366026), a broker formerly registered with Northwestern Mutual Investment Services, has been barred by FINRA, according to his BrokerCheck record, accessed on October 3, 2022. If you have questions about his conduct as a broker, keep reading.
Bar by FINRA
On July 14, 2022, Daniel Bicket consented to the entry of findings that he allegedly refused to appear for on-the-record testimony following a FINRA investigation into whether he sold equity-indexed annuities while at Northwestern Mutual Investment Services in violation of the firm’s written supervisory procedures and FINRA Rules about outside business activities.
The Letter of Acceptance, Waiver & Consent (AWC) concluded that Daniel Bicket’s alleged failure to provide testimony violated FINRA Rules 8210 and 2010.
FINRA Rules 8210 and 2010
FINRA Rule 8210 requires brokers to supply information, documents, and testimony upon request by FINRA.
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Sanctions
Daniel Bicket was indefinitely barred by FINRA on July 14, 2022.
You can read the full AWC here.
Termination from Northwestern Mutual Investment Services
On June 1, 2021, Daniel Bicket was fired from Northwestern Mutual Investment Services after allegedly selling and facilitating the sale of equity-indexed annuities in violation of firm policy prohibiting brokers from soliciting, recommending, selling, or promoting these annuities.
Background Information
Daniel Bicket has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
He previously worked for Northwestern Mutual Investment Services (CRD#:2881).
Kurta Law Can Help
If you worked with Daniel Bicket 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.
Loading...
Reload document 
Open in new tab