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Gayle Dilla Allegedly Made Unauthorized Withdrawals

Gayle Dilla (CRD #: 1633766), a broker registered with NBC Securities, is the subject of an investor dispute. This disclosure appears on her BrokerCheck record, accessed on November 27, 2023. Keep reading if you have questions regarding her conduct. 

On September 29, 2023, an investor’s attorney alleged Gayle Dilla made unauthorized withdrawals that caused the client to incur a tax liability. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized withdrawals violate this rule. 

Employment Separation 

On November 7, 2017, UBS Financial Services terminated Gayle Dilla following allegations that she exercised time and price discretion as well as undocumented discretion in certain client accounts. 

Background Information 

Gayle Dilla 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 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination

She is registered as both a broker and investment adviser in D.C., Maryland, Minnesota, Montana, and Virginia. She is also a registered broker in Nebraska and New York and is a registered investment adviser in Pennsylvania. 

Gayle Dilla has registered with six firms in her 32 years of experience: 

  • NBC Securities (CRD #: 17870) 
  • UBS Financial Services (CRD #: 8174) 
  • Morgan Stanley & Co. (CRD #: 8209) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • Painewebber Incorporated (CRD #: 8174) 
  • J.W. Gant & Associates (CRD #: 7963) 

Kurta Law Can Help 

If you have worked with Gayle Dilla and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or 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.