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Hanna Grichanik is Facing an Investor Dispute

Hanna Grichanik (CRD #: 5491508), a broker registered with Northwestern Mutual Investment Services, is the subject of an investor dispute. This is according to her BrokerCheck record, accessed on March 1, 2024. Keep reading if you have questions regarding her conduct. 

Investor Allegations 

On November 20, 2023, an investor alleged that Hanna Grichanik recommended that she sell securities in her E*Trade resulting in tax implications. The investor is seeking $100,000. 

FINRA Rule 2111 – Unsuitable Investments 

FINRA Rule 2111 defines suitable investments as securities that fit an investor’s profile. Investor profiles have information on the investor’s age, risk tolerance, tax status, investing experience, and financial goals. Investments that do not take these factors into account may be unsuitable. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of Rule 2111 also violate this rule. 

Background Information 

Hanna Grichanik has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

She is a registered broker in 24 states and D.C. She is also a registered investment adviser in Illinois. 

During her 13 years of experience, she has registered with two firms: Northwestern Mutual Investment Services (CRD #: 2881) and UBS Financial Services (CRD #: 8174).

Kurta Law Can Help 

If you have worked with Hanna Grichanik 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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