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Mike Gula Voluntarily Resigned from Charles Schwab

Mike Gula (CRD #: 3254361) has voluntarily resigned from Charles Schwab. This disclosure appears on his BrokerCheck record, accessed on August 7, 2024. Details concerning his alleged conduct are provided below. 

Employment Separation After Allegations 

On July 1, 2024, Mike Gula voluntarily resigned from Charles Schwab following allegations that he split a client’s account without authorization in order to maximize the incentive compensation. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Splitting a client account without authorization may violate this rule. 

Background Information 

Mike Gula 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 

Kurta Law Can Help 

If you have worked with Mike Gula and 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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