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Guy Kossuth Barred by FINRA

Jun 6, 2022 Barred Broker

Guy Kossuth (CRD #: 2905607) was barred from FINRA, according to his BrokerCheck record, accessed on May 28, 2022. If you want to learn more about Guy Kossuth’s conduct as a broker, read on.

Bar from FINRA

On February 17, 2022, FINRA issued a Notice of Suspension to Guy Kossuth, alleging that he failed to respond to FINRA requests for information. This suspension converted to a permanent bar from associating with FINRA members starting on May 20, 2022.

FINRA Rule 9552

Failure to respond to FINRA requests for information violates FINRA Rule 9552. This rule defines the consequences for failing to respond to requests for information: a temporary suspension which, if the member does not request to be terminated, becomes an indefinite bar from FINRA.

Background Information

Guy Kossuth has passed the following exams:

  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination
  • Series 24 - General Securities Principal Examination

He has also worked for the following firms:

  • Northwestern Mutual Investment Services (CRD#:2881)
  • NYLIFE Securities(CRD#:5167)
  • PNC Capital Markets (CRD#:15647)
  • PNC Investments (CRD#:129052)

Kurta Law Can Help

If you worked with Guy Kossuth and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.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.