Michael Sweeney Fired from Vanguard Marketing Corporation

Michael Sweeney (CRD #: 7454257), a broker formerly registered with Vanguard Marketing Corporation, was fired for allegedly violating firm policies, according to his BrokerCheck record, accessed on July 11, 2023. If you want to know more about his alleged conduct as a broker, keep reading.

Termination from Vanguard Marketing Corporation

On May 31, 2023, Michael Sweeney was fired from Vanguard Marketing Corporation for allegedly violating the firm’s electronic communication and information securities policies by sending communications externally through a Vanguard system that was not approved by his department.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Michael Sweeney has passed the following exams:

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

He previously worked for Vanguard Marketing Corporation (CRD#:7452).

Kurta Law Can Help

If you worked with Michael Sweeney and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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.