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Ethan Heisey Permitted to Resign by Northwestern Mutual Investment Services

Ethan Heisey (CRD #: 6799847), a broker registered with MML Investors Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on October 18, 2024. Keep reading if you have any questions.

Employment Separation 

On March 13, 2024, Northwestern Mutual Investment Services permitted Ethan Heisey to resign following allegations that he had violated firm policies, investment-related statutes, and industry standards of conduct.

High Standards of Commercial Honor  

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

Background Information 

Ethan Heisey has passed the following exams: 

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

He is a registered broker in seven states. 

Ethan Heisey has registered with two firms: MML Investors Services (CRD #: 10409) and Northwestern Mutual Investment Services (CRD #: 2881). 

Kurta Law Can Help 

If you worked with Ethan Heisey and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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