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John Fagan Barred by FINRA

John Fagan (CRD #: 1267279) has been barred by FINRA. This disclosure appears on his BrokerCheck record, accessed on February 15, 2024. Keep reading for more information. 

FINRA Bar

On November 11, 2023, John Fagan was barred following allegations that he refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into the sale of certain fixed-income securities. Fixed-income securities are supposed to make fixed payments to customers and return the principal investment once the investment reaches its maturity date. 

You can read a copy of the bar here.

FINRA Rule 8210 

FINRA Rule 8210 requires members to supply records, information, and testimony upon request by FINRA.

Background Information 

John Fagan has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 3 National Commodity Futures Examination 
  • Series 7 General Securities Representative Examination 
  • Series 15 Foreign Currency Options Examination 

John Fagan has registered with the following firms: 

  • Raymond James & Associates (CRD #: 705) 
  • Wells Fargo Advisors (CRD #: 19616) 
  • A.G. Edwards & Sons (CRD #: 4) 
  • Shearson Lehman Hutton (CRD #: 7506) 
  • E.F. Hutton & Company (CRD #: 235) 
  • Thomson McKinnon (CRD #: 829) 

Kurta Law Can Help 

If you have worked with John Fagan and have concerns about your investments, do not hesitate to contact us 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 that 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. Do not let securities fraud go unchecked. Start your recovery process today.

 

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