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Nathaniel Mogollan Barred by FINRA

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
September 17, 2025 at 11:08pm

Nathaniel Mogollan (CRD #: 7704553), a broker formerly registered with Craft Capital Management, allegedly refused to provide testimony to FINRA, according to his BrokerCheck record, accessed on August 24, 2025. Keep reading if you want to know more about his alleged conduct as a broker.

Bar by FINRA

On August 7, 2025, Nathaniel Mogollan consented to the entry of findings that he allegedly refused to appear for on-the-record testimony requested as part of a FINRA investigation.

A Letter of Acceptance, Waiver & Consent (AWC) concluded that this alleged refusal to provide testimony constituted a violation of FINRA Rules 8210 and 2010.

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

Nathaniel Mogollan was permanently barred by FINRA on August 7, 2025. You can access a copy of the AWC here.

Termination from Craft Capital Management

On July 1, 2025, Nathaniel Mogollan was fired from Craft Capital Management, allegedly following an internal review.

Background Information

Nathaniel Mogollan has passed the following exams:

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

He previously worked for Craft Capital Management (CRD#:171350).

Kurta Law Can Help

If you worked with Nathaniel Mogollan 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 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. 

 

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