Nicholas Bronson Investigated by State of Illinois
Nicholas Bronson (CRD #: 5473746), a broker formerly registered with Charles Schwab & Company, has been investigated by the State of Illinois, according to his BrokerCheck record, accessed on March 9, 2023. Read on to learn more about his alleged conduct as a broker.
Regulatory Investigation
On January 4, 2023, the State of Illinois Secretary of State Securities Department alleged that an investigation revealed evidence of potential violations of the Illinois Securities Law of 1953, specifically alleging the use of fraudulent or deceitful practices relating to the purchase or sale of securities.
FINRA Rule 2020
FINRA Rule 2020 forbids the use of manipulative, deceptive, or otherwise fraudulent tactics in relation to the purchase and sale of securities.
What are blue sky laws?
Blue sky laws are state securities regulations that provide investors with an extra layer of protection against fraud. They frequently also define what investments qualify as securities in the state.
Background Information
Nicholas Bronson 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
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
He has also worked for the following firms:
- Charles Schwab & Company (CRD#:5393)
- USAA Financial Advisors (CRD#:129035)
- TIAA-CREF Individual & Institutional Services (CRD#:20472)
- TD Ameritrade (CRD#:7870)
- Chase Investment Services (CRD#:25574)
Kurta Law Can Help
If you worked with Nicholas Bronson 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.