FINRA Bars Mary Spuhler for Alleged Refusal to Provide Information

Mary Beth Spuhler (CRD #: 1195301), a broker formerly registered with Osaic Wealth, has been barred by FINRA. This disclosure appears on her BrokerCheck record, accessed on March 30, 2025. Investors may have engaged in her services through Spuhler Wealth. 

Bar by FINRA

On February 21, 2025, Mary Beth Spuhler consented to the entry of findings that she allegedly refused to provide information and documents requested as part of a FINRA investigation.

According to a Letter of Acceptance, Waiver & Consent (AWC), this investigation concerned a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Osaic Wealth in September 2024, which allegedly stated that Mary Beth Spuhler was terminated for unapproved financial transactions with her clients.

The AWC concluded that the alleged refusal to provide documents and information constituted violations of FINRA Rules 8210 and 2010.

Mary Beth Spuhler consented to a permanent bar from associating with FINRA members. You can read the AWC here.

FINRA Rule 8210

FINRA Rule 8210 requires members to supply records, information, and testimony upon request by FINRA.

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 3280 also violate this rule. 

Termination from Osaic Wealth

On September 6, 2024, Osaic Wealth fired Mary Beth Spuhler following allegations that she engaged in personal transactions without the approval of her broker-dealer. 

Private Securities Transactions

FINRA Rule 3280 requires brokers to provide written notice to their firm before engaging in private securities transactions.

Background Information 

Mary Beth Spuhler has passed the following exams: 

• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 6 Investment Company Products / Variable Contracts Representative Examination 

In the past, she registered with the following firms: 

• Osaic Wealth (CRD #: 23131) 
• Securities America (CRD #: 10205) 
• National Planning Corporation (CRD #: 29604) 
• MML Investors Services (CRD #: 10409) 
• Massachusetts Mutual Life Insurance Company (CRD #: 2682) 

Kurta Law Can Help 

If you worked with Mary Beth Spuhler and you 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.