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Stephanie Mock Fired from U.S. Bancorp Investments

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
March 28, 2023 at 8:23pm

Stephanie Mock (CRD #: 7640806), a broker formerly registered with U.S. Bancorp Investments, has been fired from that firm, according to her BrokerCheck record, accessed on March 14, 2023. Read on to learn more about her alleged conduct as a broker.

Termination from U.S. Bancorp Investments

On January 9, 2023, Stephanie Mock was fired by U.S. Bancorp Investments’ affiliate bank, U.S. Bank, for allegedly depositing checks and withdrawing funds from an account with insufficient funds.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Stephanie Mock has passed the following exams:

  • Series 6TO – Investment Company Products/Variable Contracts Representative Examination
  • SIE – Securities Industry Essentials Examination

She previously worked for U.S. Bancorp Investments (CRD#:17868).

Kurta Law Can Help

If you worked with Stephanie Mock and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.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. 

 

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