Jeff Raithel Issued with Wells Notice From the SEC
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.
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 firstname.lastname@example.org for a free consultation.
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