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Don Bizub Allegedly Failed to Supervise

Apr 25, 2022 Failure to Supervise

Don Bizub (CRD #: 1600090), a broker registered with Hamilton Grant, is involved in two investor disputes. This is according to his BrokerCheck record, accessed on March 22, 2022.

On February 16, 2022, an investor alleged that Don Bizub failed to supervise. The investor is seeking $16,440,22l the dispute is pending.

There is a similar investor dispute on his record. On December 29, 2021, an investor alleged that Don Bizub alleged he failed to supervise.

Failure to Supervise

FINRA Rule 3110 requires that brokerage firms to establish registered principals who have the authority to carry out the firm’s supervisory responsibilities. Those principles are tasked with supervising brokers and reviewing their securities transactions. Firms are required to maintain a system to supervise the activities of each stockbroker.

Background Information

Don Bizub has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination
  • Series 53 Municipal Securities Principal Examination
  • Series 27 Financial and Operations Principal Examination
  • Series 4 Registered Options Principal Examination
  • Series 24 General Securities Principal Examination

He is a registered investment adviser in 22 states and is a registered broker in 50 states and Washington D.C.

Don Bizub has worked with the following firms:

  • Hamilton Grant (CRD #: 166180)
  • Western International Securities (CRD #: 39262)
  • Financial West Group (CRD #: 16668)
  • com (CRD #: 104161)
  • Baraban Securities (CRD #: 7659)

Kurta Law Can Help

If you have worked with Don Bizub and have concerns about your investments, 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 on behalf of investors who have lost money following broker fraud or misconduct. Kurta Law is a nationally recognized law firm and exclusively represents investors on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Our attorneys will work tirelessly to restore your lost funds and get your financial future back on track.