Michael Puckett Under Investigation by FINRA Following Resignation from Coker & Palmer
Michael Puckett (CRD #: 6568213), a broker formerly registered with Coker & Palmer, is the subject of an ongoing FINRA investigation, according to his BrokerCheck record, accessed on September 18, 2022. If you want to learn more about Michael Puckett’s conduct as a broker, read on.
Resignation from Coker & Palmer and FINRA Investigation
On July 1, 2022, FINRA launched an investigation into an allegation that Michael Puckett took confidential client information at or before the time of his resignation from Coker & Palmer, earlier that same day.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Brokers are prohibited from taking confidential customer information.
Michael Puckett has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- Series 86 – Research Analyst Exam – Part I Analysis Module
- SIE – Securities Industry Essentials Examination
- Series 87 – Research Analyst Exam – Part II Regulations Module
- Series 7 – General Securities Representative Examination
- Series 3 – National Commodity Futures Examination
He previously worked for Coker & Palmer (CRD#:29163).
Kurta Law Can Help
If you worked with Michael Puckett and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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 and 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.