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Timothy Munley Fired from W&S Brokerage Services

Aug 29, 2022 Fired Brokers

Timothy Munley (CRD #: 5649726) was fired from W&S Brokerage Services, according to his BrokerCheck record, accessed on August 13, 2022. If you want to learn more about his conduct as a broker, read on.

Termination from W&S Brokerage Services

On June 3, 2022, Timothy Munley was fired from W&S Brokerage Services following a review of a customer complaint filed on April 25, 2022. The complaint alleged that he recommended the clients replace an existing product with a new product and that this transaction occurred without the clients’ documented approval.

During the firm investigation, Timothy Munley allegedly admitted to completing an application and electronically signing a client’s name without authorization or allowing the client to review the completed application.

FINRA Rule 2010

Forgery violates FINRA Rule 2010, which holds brokers to high standards of professional honor and just and equitable principles of trade.

Background Information

Timothy Munley 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
  • Series 26 – Investment Company Products/Variable Contracts Principal Examination

He previously worked for W&S Brokerage Services (CRD#:8099).

Kurta Law Can Help

If you worked with Timothy Munley 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.