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Luke Brooks is the Subject of a Regulatory Action

Luke Brooks (CRD #: 7400412), a previously registered broker with U.S. Bancorp, has been suspended by FINRA. This disclosure appears on his BrokerCheck record, accessed on October 15, 2024. Keep reading if you have questions regarding his alleged conduct. 

Regulatory Allegations 

On July 31, 2024, an investor alleged that Luke Brooks failed to respond to FINRA requests for information. The suspension will continue until the broker provides the requested information or the suspension will convert into a bar. 

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 8210 also violate this rule. 

Background Information 

Luke Brooks has passed the following exams: 

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

Kurta Law Can Help 

If you worked with Luke Brooks and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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 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.

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