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The Investment Center Fires David Slater Over Alleged Violation of Firm Policy

David Slater (CRD #: 2061869), a broker registered with Chelsea Financial Services, was fired from his previous firm, according to his BrokerCheck record, accessed on September 17, 2022. Keep reading if you want to know more about his conduct as a broker.

Discharge from The Investment Center

On July 28, 2022, David Slater was fired from The Investment Center following an alleged failure to follow firm policy. Brokers should always follow their firm’s policies, in addition to FINRA rules and regulations. Failure to follow firm policies constitutes a violation of FINRA Rule 2010. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

David Slater has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

David Slater is a registered broker in California, New York, and Washington.

He has also worked for the following firms:

  • The Investment Center (CRD#:17839)
  • Prime Capital Services (CRD#:18334)
  • Park Avenue Securities (CRD#:46173)
  • Guardian Investor Services Corporation (CRD#:6635)

Kurta Law Can Help

If you worked with David Slater 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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