Ronald Chronister Allegedly Executed an Unauthorized Trade
Ronald Chronister (CRD #: 3255653) has been suspended by FINRA. This is according to his BrokerCheck record, accessed on August 2, 2024. Details concerning these allegations are provided below.
Regulatory Action
On June 21, 2024, Ronald Chronister entered into an Acceptance, Waiver, and Consent agreement (AWC) in which he consented to the findings that he executed an unauthorized trade in a customer’s account.
As part of the terms of his AWC, Ronald Chronister consented to a $7,500 fine and a 45-day fine. You can read a copy of the AWC h
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Open in new tab FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized trading following a client’s death violates this rule.
Background Information
Ronald Chronister 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
During his 24 years of experience, he has registered with two firms: LPL Financial (CRD #: 6413) and New England Securities (CRD #: 615).
Kurta Law Can Help
If you have worked with Ronald Chronister 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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