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JT Smelik Resigns from Northwestern Mutual Investment Services

JT Smelik (CRD #: 7368537), a broker formerly registered with Northwestern Mutual Investment Services, resigned from that firm following forgery allegations, according to his BrokerCheck record, accessed on May 8, 2023. Read on if you have questions about his alleged conduct as a broker.

Resignation from Northwestern Mutual Investment Services

On March 30, 2023, JT Smelik was permitted to resign from Northwestern Mutual Investment Services after allegedly admitting to placing client signatures onto non-variable life insurance policy application documents for three clients.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Placing client signatures on documents may violate FINRA Rule 2010. 

Background Information

JT Smelik has passed the following exams:

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

He previously worked for Northwestern Mutual Investment Services (CRD#:2881).

Kurta Law Can Help

If you worked with JT Smelik 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 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. 

 

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