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Levi Olson Fired by NBC Securities

Levi Olson (CRD #: 5294419) has been terminated by NBC Securities. This disclosure appears on his BrokerCheck record, accessed on December 14, 2023. Keep reading if you have questions regarding his termination. 

On October 30, 2023, NBC Securities fired Levi Olson following allegations that the employing bank firm received a customer complaint alleging he failed to place an order in the customer’s brokerage account which resulted in foregone income. 

FINRA Rule 5310

FINRA Rule 5310 requires brokers to promptly execute clients’ transactions according to their instructions. This rule also establishes that brokers must use reasonable due diligence to determine the best market for their client’s order. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to place an order may violate this rule.

Background Information 

Levi Olson has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

Levi Olson has registered with the following firms: NBC Securities (CRD #: 17870) and First State Financial Management (CRD #: 16590). 

Kurta Law Can Help 

If you have worked with Levi Olson and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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 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. Do not let securities fraud go unchecked. Start your recovery process today.