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Gisela Lake Fired from B.B. Graham & Company Following Allegations

Jul 17, 2023 Fired Brokers

Gisela Lake (CRD #: 1121376), a broker registered with KW Securities Corporation, was fired from her previous firm following allegations of misconduct, according to her BrokerCheck record, accessed on July 11, 2023. Keep reading if you have questions about her alleged conduct as a broker.

Termination from B.B. Graham & Company

On June 5, 2023, Gisela Lake was fired from B.B. Graham & Company following allegations that she failed to supervise by not reporting a client complaint to the firm and by assisting in allowing this complaint to be settled away from the firm.

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish supervisory systems to ensure their compliance with securities regulations. Firms must appoint supervisors and provide them with Written Supervisory Procedures (WSPs) to follow.

Background Information

Gisela Lake has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 52TO – Municipal Securities Representative Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 14 – Compliance Officer Examination
  • Series 24 – General Securities Principal Examination

Gisela Lake is a registered broker in California.

She has also worked for the following firms:

  • B.B. Graham & Company (CRD#:41533)
  • Tessara Financial Advisors (CRD#:113010)
  • Endeavor Group (CRD#:8217)
  • GS2 Securities (CRD#:14745)
  • Associated Planners Securities Corporation (CRD#:12969)
  • ENEX Securities Corporation (CRD#:8591)
  • U.S. Advisors (CRD#:10721)
  • Outstanding Investments (CRD#:15118)
  • Financial Planners Equity Corporation (CRD#:7420)

Kurta Law Can Help

If you worked with Gisela Lake and you have concerns about your investments, please contact us today at 877-600-0098 or 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.