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Gregory Howell Permitted to Resign by KCD Financial

Gregory Howell (CRD #: 4225065) has been permitted to resign by KCD Financial. This disclosure appears on his BrokerCheck record, accessed on January 12, 2024. Keep reading if you have questions concerning his alleged conduct. 

On December 22, 2023, KCD Financial permitted Gregory Howell to resign. This followed allegations that he used his personal email to communicate with investors instead of the firm’s email. Firms require brokers to communicate via official channels in order to meet FINRA’s supervisory rules, which require firms to supervise their broker’s conduct, including their communications with investors.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Communicating with investors using a personal email may violate this rule. 

Background Information 

Gregory Howell has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination 
  • Series 24 General Securities Principal Examination 

During his 23 years of experience, he has registered with five firms: 

  • KCD Financial (CRD #: 127473) 
  • MetLife Securities (CRD #: 14251) 
  • MML Investors Services (CRD #: 10409) 
  • Packerland Brokerage Services (CRD #: 37031) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 

Kurta Law Can Help 

If you have worked with Gregory Howell and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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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