Evan Pfueffer Barred by FINRA

Evan Pfeuffer (CRD #: 2862097) has been barred by FINRA. This is according to his BrokerCheck record, accessed on September 13, 2025. Keep reading if you have questions concerning his alleged conduct. 

Regulatory Action

On June 10, 2025, FINRA barred Evan Pfeuffer following allegations that he refused to provide information and documents provided by FINRA. You can read more about the FINRA allegations here. 

Employment Separation After Allegations

On October 18, 2024, Stonex Financial fired Evan Pfeuffer for violating company policy and industry standards disclosure of confidential information.  

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 

Evan Pfeufer has passed the following exams: 

• Series 26 Investment Company Products/Variable Contracts Principal Examination 
• Series 24 General Securities Representative Examination
• Series 57TO Securities Trader Exam 
• Series 99TO Operations Professional Examination 
• Series 7TO General Securities Representative Examination  
• SIE – Securities Industry Essentials Examination 
• Series 55 Limited Representative-Equity Trader Exam 
• Series 7 General Securities Representative Examination 
• Series 63 Uniform Securities Agent State Law Examination 

He has registered with six firms: 

• Stonex Financial (CRD #: 45993) 
• BTIG (CRD #: 122225) 
• Credit Suisse Securities (USA) (CRD #: 816) 
• UBS Securities (CRD #: 7654) 
• UBS Capital Markets (CRD #: 2692) 
• Schwab Alterity (CRD #: 45294) 
• Credit Suisse First Boston Corporation (CRD #: 816) 

Kurta Law Can Help

If you worked with Evan Pfeufer 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 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.