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Jeff Han Voluntarily Resigns After Allegedly Violating Firm Policy 

Mar 17, 2022 Employment

Jeff Han (CRD #:5141743), a broker registered with Cetera Investment Services, voluntarily resigned from his position at Charles Schwab & Co according to his  BrokerCheck record, accessed on March 12, 2022.  He is also an investment advisor registered with Cetera Investment Advisors. 

Resignation Details

On November 9, 2021, Jeff Han voluntarily resigned from his position at Charles Schwab & Co after allegedly failing to adhere to Workplace Behavior and Expectation policy concerning record-keeping of client interactions. 

FINRA Rules 4511 and 2010

FINRA requires firms to maintain accurate records. FINRA Rule 4511 states that firms "shall make and preserve books and records as required under the FINRA Rules, the Exchange Act and the applicable Exchange Act rules." FINRA Rule 4511 applies to customer account information, communications between brokers and investors, as well as records of written customer complaints. 

By allegedly causing Charles Schwab & Co to make or preserve inaccurate records, Jeff Han also violated FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor.

Background Information

Jeff Han 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 55 - Limited Representative-Equity Trader Exam

He is a registered broker and investment advisor in California.

Jeff Han has also worked with the following firms:

  • Signator Investors (CRD#:468)
  • SEIA (CRD#:108163)
  • C.K. Cooper & Company  (CRD#:106578)

Kurta Law Can Help

If you have worked with Jeff Han and have concerns about your investments, don't hesitate to contact us today 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 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.