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Liam Marshall Faces Pending Criminal Charge

Liam Marshall (CRD #: 7020608), a broker registered with Morgan Stanley, has pending criminal charges against him, according to his BrokerCheck record, accessed on November 16, 2024. If you want to know more about his alleged conduct as a broker, read on.

Criminal Charge

On October 9, 2024, a criminal charge was filed against Liam Marshall. This charge is pending.

FINRA Rule 2010

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

Background Information

Liam Marshall has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination

Liam Marshall is a registered broker in 32 states and the District of Columbia. He is also a registered investment adviser in New Jersey and Texas.

He has also worked for Wells Fargo Clearing Services (CRD#:19616).

Kurta Law Can Help

If you worked with Liam Marshall 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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