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Jonathan McCarty Subject of Indiana State Regulatory Action

Jonathan McCarty (CRD #: 4811946), a broker formerly registered with Ameritas Investment Corporation, was fined by the State of Indiana, according to his BrokerCheck record, accessed on September 21, 2025. Read on if you want to learn more about his alleged conduct as a broker.

Indiana State Regulatory Action

On June 2, 2025, State of Indiana Office of the Secretary of State, Securities Division alleged that Jonathan McCarty solicited, serviced, or communicated with investment advisory clients without being exempt, registered with, or employed by a firm in the state from November 21, 2024 to January 10, 2025.

Jonathan McCarty was fined $10,000.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Jonathan McCarty has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • Investment Company Products/Variable Contracts Representative Examination – Series 6
  • Uniform Securities Agent State Law Examination – Series 63
  • Uniform Investment Adviser Law Examination – Series 65

He previously worked for Ameritas Investment Corporation (CRD#:14869).

Kurta Law Can Help

If you worked with Jonathan McCarty and you have concerns about your investments, please contact 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 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. 

 

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