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Dylan Locke Fired from CWM For Alleged Misconduct

Dylan Locke (CRD #: 6328924), a broker formerly registered with MML Investors Services, was fired from an investment advisory firm, according to his BrokerCheck record, accessed on January 12, 2023. If you have questions about his alleged conduct as a broker, keep reading.

Termination from CWM

On December 9, 2022, Dylan Locke was fired from investment advisory firm CWM, LLC for allegedly violating firm policy by repurposing a signature page of an agreement.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Repurposing a signature page could violate this rule. 

Background Information

Dylan Locke has passed the following exams:

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

He previously worked for MML Investors Services (CRD#:10409).

Kurta Law Can Help

If you worked with Dylan Locke 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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