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Nicholas Huniak Fired from Country Capital Management Company

Nicholas Huniak (CRD #: 5576723), a broker formerly registered with Country Capital Management Company, allegedly violated firm policy, according to his BrokerCheck record, accessed on January 12, 2023. Read on if you want to know more about his alleged conduct as a broker.

Termination from Country Capital Management Company

On December 14, 2022, Country Capital Management Company fired Nicholas Huniak after a firm investigation allegedly concluded that he failed to disclose a customer complaint and violated firm policy by naming himself as a beneficiary for the account of a non-immediate family member.

FINRA Rule 3241

FINRA Rule 3241 prohibits brokers from being named as a client’s beneficiary unless they are an immediate family member or the relationship is approved by the broker’s firm.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 3241 may also violate FINRA Rule 2010. 

Background Information

Nicholas Huniak has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

He previously worked for Country Capital Management Company (CRD#:12060).

Kurta Law Can Help

If you worked with Nicholas Huniak 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. 

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