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Stephen McNeill Fired from Morningstar Investment Services

Stephen McNeill (CRD #: 4119627), a broker formerly registered with Morningstar Investment Services, allegedly violated firm policies, according to his BrokerCheck record, accessed on April 12, 2023. If you want to know more about his alleged conduct as a broker, keep reading.

Termination from Morningstar Investment Services

On February 28, 2023, Stephen McNeill was fired from Morningstar Investment Services after allegedly violating firm policies.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violating firm policies may also violate FINRA Rule 2010. 

Background Information

Stephen McNeill has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

He has also worked for the following firms:

  • Morningstar Investment Services (CRD#:112525)
  • OneAmerica Securities (CRD#:4173)
  • Voya Financial Partners (CRD#:34815)
  • Voya Financial Advisors (CRD#:2882)
  • ING Financial Advisers (CRD#:34815)
  • GWFS Equities (CRD#:13109)
  • John Hancock Distributors (CRD#:5249)

Kurta Law Can Help

If you worked with Stephen McNeill 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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