Paula Dies Resigns from Bankers Life Securities
Paula Dies (CRD #: 7003887), a broker formerly registered with Bankers Life Securities, resigned from that firm, according to her BrokerCheck record, accessed on November 11, 2022. Keep reading if you have questions about Paula Dies’ conduct as a broker.
Resignation from Bankers Life Securities
On October 6, 2022, Paula Dies resigned from Bankers Life Securities after the firm allegedly determined she was conducting business using her personal email account.
The firm allegedly also determined that Paula Dies provided system access to an unauthorized non-employee or associated person and allowed that person to complete required firm training on the associated persons’ behalf.
FINRA Rule 4511
FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records. If a broker uses a personal account to conduct business, the firm may not be able to retain a record of their communication.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Paula Dies has passed the following exams:
- SIE – Securities Industry Essentials Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
She previously worked for Bankers Life Securities (CRD#:173962).
Kurta Law Can Help
If you worked with Paula Dies and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.