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Javier Trevino Fired from Charles Schwab & Company

Javier Trevino (CRD #: 6404236), a broker formerly registered with Charles Schwab & Company, was fired from the firm, according to his BrokerCheck record, accessed on October 29, 2022. If you have questions about his conduct as a broker, read on.

Discharge from Charles Schwab & Company

On September 8, 2022, Javier Trevino was fired from Charles Schwab after allegedly failing to accurately record and promptly report information in the firm’s books and records, in violation of FINRA rules and regulations. 

FINRA Rule 4511

FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 4511 are also violations of FINRA Rule 4511. 

Background Information

Javier Trevino has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

He previously worked for Charles Schwab & Company (CRD#:5393) and USAA Financial Advisors (CRD#:129035).

Kurta Law Can Help

If you worked with Javier Trevino and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free case evaluation.

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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