Giancarlo Varia Investigated by California Department of Insurance
Giancarlo Varia (CRD #: 6608778), a broker registered with J.P. Morgan Securities, has been investigated by the California Department of Insurance, according to his BrokerCheck record, accessed on March 9, 2023. Keep reading if you want to know more about his alleged conduct as a broker.
Investigation by State of California
On January 9, 2023, the California Department of Insurance alleged that an investigation into Giancarlo Varia found grounds to deny his pending insurance license application, specifically alleging that he has two prior criminal convictions.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Giancarlo Varia 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
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
Giancarlo Varia is a registered broker in California.
Kurta Law Can Help
If you worked with Giancarlo Varia and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.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 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.