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Steven Sharp is Involved in an Investor Dispute

Steven Sharp (CRD #: 3178563), a broker registered with Wells Fargo Clearing Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on June 24, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On April 10, 2024, an investor alleged Steven Sharp transferred funds away from their joint account without the investor’s consent or awareness. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Transferring funds without an investor’s consent may violate this rule. 

Background Information 

Steven Sharp 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 

He is a registered broker in 21 states and D.C. He is a registered investment adviser in Alabama, Mississippi, and Tennessee. 

Steven Sharp has registered with the following firms: Wells Fargo Clearing Services (CRD #: 19616) and Prudential Securities Incorporated (CRD #: 7471). 

Kurta Law Can Help 

If you have worked with Steven Sharp 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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