Sachin Makati Resigns from Charles Schwab & Company
Sachin Makati (CRD #: 5790771), a broker formerly registered with Charles Schwab & Company, recently resigned from the firm, according to his BrokerCheck record, accessed on February 15, 2023. If you have questions about his alleged conduct as a broker, read on.
Resignation from Charles Schwab & Company
On December 22, 2022, Sachin Makati was permitted to resign from Charles Schwab & Company after a branch manager allegedly discovered the following violations of firm policy:
- Making a Schwab Wealth Advisory advice recommendation not allowed by his role
- Creating improper Salesforce documentation and “avoiding” documentation advice
- Requesting that a co-worker create documentation for a meeting that he did not attend
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Sachin Makati has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
He previously for Charles Schwab & Company (CRD#:5393) and Fidelity Brokerage Services (CRD#:7784).
Kurta Law Can Help
If you worked with Sachin Makati and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.com 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.