RD Washington Barred After Allegedly Failing to Cooperate with FINRA Investigation
RD Washington (CRD #: 1275777), a broker formerly registered with UBS Financial Services, has been barred by FINRA, according to his BrokerCheck record, accessed on February 19, 2022.
This bar stems from allegations that RD Washington refused to provide documents and information requested during the course of a FINRA investigation into whether he had engaged in an undisclosed outside business and other potentially violative conduct. By refusing to produce the documents and information requested pursuant to FINRA Rule 8210, he allegedly violated FINRA Rules 8210 and 2010.
FINRA Rule 8210 requires that registered brokers supply FINRA staff with all information and documents requested in the course of an investigation. A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to “observe high standards of commercial honor and just and equitable principles of trade.”
RD Washington has the following outside businesses on his detailed BrokerCheck record:
- Owner of two rental properties in Ohio
- Owner of Sterile Techs (a janitorial service company)
If RD Washington solicited you for investments in an outside business, contact Kurta Law right away.
You can read a copy of the bar here.
RD Washington has passed the following exams:
- Series 65 – Uniform Investment Adviser 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
Besides UBS Financial Services, RD Washington has also worked with the following firms:
- American Express Financial Advisors (CRD#:6363)
- IDS Life Insurance Company (CRD#:6321)
- Anchor National Financial Services (CRD#: 5774)
Kurta Law Can Help
If you have been victimized after working with RD Washington, don’t hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors 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.