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Evan Watzka Was Permitted to Resign by Raymond James Financial

Evan Watzka (CRD #: 7437787) was permitted to resign by Raymond James Financial Services. This is according to his BrokerCheck record, accessed on April 19, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations

On December 5, 2023, Raymond James Financial Services permitted Evan Watzka to resign following allegations that he failed to follow firm policies regarding authorization for trades. 

FINRA Rule 3260

FINRA Rule 3260 limits discretionary trading by brokers to pre-approved discretionary accounts. These accounts must be approved for discretionary trading by both the client and the firm. Discretionary trading that takes place in an account that has not been approved is unauthorized.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 3260 also violate FINRA Rule 2010. 

Background Information 

Evan Watzka has passed the following exams: 

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

Kurta Law Can Help 

If you have worked with Evan Watzka 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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