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Matthew Zuccaro No Longer Registered with Charles Schwab

Matthew Zuccaro (CRD #: 3183225) has voluntarily resigned from Charles Schwab & Co. This disclosure appears on his BrokerCheck record, accessed on October 9, 2023. Keep reading for more information. 

On August 7, 2023, Matthew Zuccaro voluntarily resigned from Charles Schwab following allegations he was under internal review for accepting trade orders from spouses who did not have trade authorization. 

FINRA 2090 – “Know Your Customer” 

FINRA Rule 2090, also known as FINRA’s “know your customer” rule requires firms to obtain and keep certain essential facts about their clients and the individuals authorized to act on their behalf. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Accepting trade orders from parties who do not have trade authorization may violate this rule. 

Background Information 

Matthew Zuccaro has passed the following exams: 

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

He has only ever registered with Charles Schwab during his 23 years of experience. 

Kurta Law Can Help

If you worked with Matthew Zuccaro and have concerns about your investments, please contact us today at 877-600-0098 or 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.