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Laurie Licciardi Fired from Oppenheimer & Company Over Alleged Misconduct

May 16, 2023 Fired Brokers

Laurie Licciardi (CRD #: 2059155), a broker formerly registered with Oppenheimer & Company, was fired from that firm following alleged misconduct, according to her BrokerCheck record, accessed on May 11, 2023. If you have questions about her alleged conduct as a broker, keep reading.

Termination from Oppenheimer & Company

On March 2, 2023, Laurie Licciardi was fired from Oppenheimer & Company following allegations of gross misconduct in the form of shredding firm documents.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Shredding firm documents may violate FINRA Rule 2010. 

Background Information

Laurie Licciardi has passed the following exams:

  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination

She previously worked for Oppenheimer & Company (CRD#:249).

Kurta Law Can Help

If you worked with Laurie Licciardi 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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