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Kevin Ploche Allegedly Engaged in Unauthorized Trading

Kevin Ploche (CRD #: 5840300) has been fired by TFA. This disclosure appears on his BrokerCheck record, accessed on November 3, 2025. Keep reading if you have questions regarding his alleged conduct.

Employment Separation After Allegations

On October 24, 2025, TFA fired Kevin Ploche following allegations of discretionary trading.

Discretionary Trading

FINRA Rule 3260 limits discretionary trading by brokers to pre-approved discretionary accounts. These accounts must be approved for discretionary trading by both the client and the firm. Discretionary trading that takes place in an account that has not been approved is unauthorized.

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized trading also violates this rule. 

Background Information

Kevin Ploche 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

He has registered with the following firms:

  • TransAmerica Financial Advisors (CRD #: 16164)
  • World Group Securities (CRD #: 114473)

Kurta Law Can Help

If you worked with Kevin Ploche 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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