Ronald Berg Subject of a FINRA Bar
Ronald Berg (CRD #: 19008) has been barred by FINRA. This disclosure appears on his BrokerCheck record, accessed on August 2, 2024. Details concerning this disclosure are provided below.
Regulatory Action
On May 31, 2024, Ronald Berg consented to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its examination of his recommendations to multiple senior customers to invest in private offerings and his involvement with customer trusts.
According to the findings, Ronald Berg provided a partial but incomplete response that did not substantially comply with FINRA’s request.
He is the subject of a bar beginning May 31, 2024. You can read a copy of the bar here.
FINRA Rule 8210
FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.
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 8210 also violate this rule.
Background Information
Ronald Berg has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Series 7TO General Securities Representative Examination
- SIE – Securities Industry Essentials Examination
- Series 1 Registered Representative Examination
- Series 40 Registered Principal Examination
During his 48 years of experience, Ronald Berg has registered with 19 firms. These are the five most recent:
- Innovation Partners (CRD #: 146344)
- Newport Coast Securities (CRD #: 16944)
- Athena Capital Partners (CRD #: 116226)
- Intermountain Financial Services (CRD #: 15386)
- Brookstone Securities (CRD #: 13366)
Kurta Law Can Help
If you have worked with Ronald Berg and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com 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 that 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. Do not let securities fraud go unchecked. Start your recovery process today.
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