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Jeff Raithel Issued with Wells Notice From the SEC 

Jan 19, 2022 Regulatory Action

Jeff Raithel (CRD#: 5670822) is the subject of a FINRA investigation, according to his BrokerCheck Record accessed on December 20, 2021.  

 On November 19, 2021, Jeff Raithel received a Wells Notice in connection with conduct with a prior employer. The BrokerCheck disclosure does not specify the nature of the conduct.  

What is a Wells Notice? 

A "Wells Notice" is a letter describing charges a regulator intends to bring against a broker or investment adviser. This letter gives the broker a chance to respond to the charges.  

Background Information 

Jeff Raithel has passed the following exams: 

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

He is a registered broker in California and New York 

Besides Ducera Securities, Jeff Raithel has also worked with Houlihan Lokey Capital. 

Kurta Law Can Help  

If you have been victimized by Jeff Raithel as a broker, don't hesitate to get in touch with 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.