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Kaitlin Whitinger Resigns from Charles Schwab & Company

Kaitlin Whitinger (CRD #: 7463814), a broker formerly registered with Charles Schwab & Company, allegedly violated firm policies, according to her BrokerCheck record, accessed on April 13, 2023. Keep reading if you have questions about her alleged conduct as a broker.

Resignation from Charles Schwab & Company

On February 7, 2023, Kaitlin Whitinger was permitted to resign from Charles Schwab & Company following allegations that she violated the firm’s Communications and Social Media Standards policy and also violated firm policy by recommending certain securities.

FINRA Rule 2010

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

Background Information

Kaitlin Whitinger has passed the following exams:

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

She previously worked for Charles Schwab & Company (CRD#:5393) and TD Ameritrade (CRD#:7870).

Kurta Law Can Help

If you worked with Kaitlin Whitinger 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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