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Thomas Bennett Fired from UnionBanc Investment Services

Jul 17, 2023 Fired Brokers

Thomas Bennett (CRD #: 4201609), a broker formerly registered with UnionBanc Investment Services, was fired following allegations of misconduct, according to his BrokerCheck record, accessed on July 11, 2023. Keep reading if you want to know more about his alleged conduct as a broker.

Termination from UnionBanc Investment Services

On May 26, 2023, Thomas Bennett was fired from UnionBanc Investment Services for allegedly failing to follow firm paperwork procedures, including requesting clients to sign blank and/or incomplete forms.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Thomas Bennett has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

He previously worked for the following firms:

  • UnionBanc Investment Services (CRD#:14455)
  • Saybrus Equity Services (CRD#:153319)
  • BancWest Investment Services (CRD#:29357)
  • New England Securities (CRD#:615)
  • PrimeVest Financial Services (CRD#:15340)
  • Citicorp Investment Services (CRD#:23988)
  • Cal Fed Investments (CRD#:19631)
  • American Express Financial Advisors (CRD#:6363)
  • IDS Life Insurance Company (CRD#:6321)

Kurta Law Can Help

If you worked with Thomas Bennett 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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