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Noah Sosa Terminated by Osaic FS

Noah Sosa (CRD #: 7881704) has been fired by Osaic FS. This disclosure appears on his BrokerCheck record, accessed on September 13, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On July 19, 2024, Osaic FS fired Noah Sosa following an internal review. The review was initiated by the firm following its discovery of certain communications that suggested that he shared client information with an unauthorized, barred individual. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Sharing client information with an unauthorized individual may violate this rule. 

Background Information 

Noah Sosa has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • Series 7TO General Securities Representative Examination 
  • SIE – Securities Industry Essentials Examination 

Kurta Law Can Help 

If you worked with Noah Sosa and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

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