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Tavic Francis is the Subject of a FINRA Investigation

Tavic Francis (CRD #: 6676717), a previously registered broker with Goldman Sachs & Co., is the subject of an investigation. This is according to his BrokerCheck record, accessed on March 26, 2024. Keep reading if you have questions concerning the investigation.

FINRA Investigation 

On January 17, 2024, FINRA made a preliminary determination to recommend disciplinary action for Tavic Francis following alleged violations of FINRA Rule 8210 and FINRA Rule 2010. He allegedly failed to respond to requests for documents and information made pursuant to FINRA Rule 8210. 

FINRA 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

High Standards of Commercial Honor 

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

Background Information 

Tavic Francis has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 79 Investment Banking Registered Representative Examination

Kurta Law Can Help 

If you have worked with Tavic Francis and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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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