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Jamie Cockburn Fired from FSC Securities

Jamie Cockburn (CRD #: 2829827), a broker formerly registered with FSC Securities, was fired following allegations of misconduct, according to his BrokerCheck record, accessed on May 9, 2023. Keep reading to learn more about his alleged conduct as a broker.

Termination from FSC Securities

On March 17, 2023, Jamie Cockburn was fired from FSC Securities after the North Carolina Secretary of State Securities Division alleged that he engaged in transactions through an unaffiliated trust company.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Jamie Cockburn has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

He previously worked for the following firms:

  • FSC Securities (CRD#:7461)
  • Waddell & Reed (CRD#:866)
  • Mony Securities Corporation (CRD#:4386)

Kurta Law Can Help

If you worked with Jamie Cockburn 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. 

 

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