Georg Ettstaller Resigns from Credit Suisse Securities
Georg Ettstaller (CRD #: 6778455), a broker formerly registered with Credit Suisse Securities (USA), resigned from his firm, according to his BrokerCheck record, accessed on September 17, 2022. If you want to learn more about his conduct as a broker and alleged FINRA rule violations, read on.
Resignation from Credit Suisse Securities (USA)
On July 24, 2022, Georg Ettstaller resigned from Credit Suisse Securities following allegations he used an application not approved by the firm to share firm information internally and participated in an undisclosed outside business activity. He also allegedly shared material non-public information externally and removed proprietary information from the firm.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
FINRA Rule 3270
FINRA Rule 3270 requires brokers to disclose in advance their participation in any business activities outside their firm and receive approval before going forward.
Other business activities
Georg Ettstaller’s detailed BrokerCheck report does not currently list any outside business activities. Outside businesses approved by the firm should appear in this detailed report.
Georg Ettstaller has passed the following exams:
- SIE – Securities Industry Essentials Examination
- Series 79 – Investment Banking Registered Representative Examination
He previously worked for Credit Suisse Securities (USA) (CRD#:816).
Kurta Law Can Help
If you worked with Georg Ettstaller and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.