Kevin Burckhard Barred by FINRA for Allegedly Failing to Respond to Requests for Information

Kevin Burckhard (CRD #: 1920694), a broker formerly registered with Northwestern Mutual Investment Services, was recently barred for allegedly failing to respond to FINRA requests for information, according to his BrokerCheck Record accessed on March 12, 2022.

FINRA Bar

FINRA Rule 9552 applies in situations where a brokerage firm or representative has failed to provide information or keep information current. FINRA Rule 9552 is a Notice of Suspension if corrective action is not taken. Since Kevin Burckhard failed to request termination of his suspension within three months of the date of the Notice of Suspension, he was automatically barred on February 14, 2022.

Employment Resignation Details

On September 17, 2020, Kevin Burckhard was permitted to resign from his position at Northwestern Mutual Investment Services after allegedly failing to fully cooperate and comply with the disclosure of requested information about his financial status, including his failure to timely disclose two tax liens from the State of North Dakota.

Article V, Section 2(c) of FINRA’s By-Laws requires brokers to keep their Form U4 “current at all times.” At the same time, FINRA Rule 1122 prohibits registered brokers from filing registration information that is incomplete or inaccurate.

Violations of Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rule 1122 also constitute violations of FINRA Rule 2010, which requires associated persons to observe high standards of commercial honor and just principles in their business dealings. 

Background Information

Kevin Burckhard has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination
• Series 26 – Investment Company Products/Variable Contracts Principal Examination

Besides  Northwestern Mutual Investment Services, Kevin Burckhard has also worked with Robert W. Baird & Co. Incorporated (CRD#:8158).

Kurta Law Can Help 

If you have been victimized by Kevin Burckhard as a broker, don’t hesitate to get in touch with us today 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 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.