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Mary Spuhler Fired by Osaic Wealth

Mary Beth Spuhler (CRD #: 1195301) has been fired by Osaic Wealth. This disclosure appears on her BrokerCheck record, accessed on October 4, 2024. Investors may have engaged in her services through Spuhler Wealth. 

Employment Separation After Allegations 

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.

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. 

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 

She has 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.

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