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Todd Kalish Suspended by FINRA

Todd Kalish (CRD #: 2865875), a broker formerly registered with McDonald Partners, was recently suspended by FINRA, according to his BrokerCheck record, accessed on October 23, 2022. Read on to learn more about Todd Kalish’s conduct as a broker.

Suspension by FINRA

On June 17, 2022, FINRA notified Todd Kalish of his suspension for allegedly failing to comply with a settlement agreement/arbitration award or satisfactorily respond to a FINRA request for information as to the status of his compliance.

His suspension took effect on August 4, 2022, and ended on August 12, 2022. 

FINRA Rule 9554

FINRA Rule 9554 penalizes brokers who fail to comply with arbitration awards or settlement agreements with a suspension or cancellation of their membership.

Background Information

Todd Kalish 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 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

He previously worked for the following firms:

  • McDonald Partners (CRD#:135414)
  • Morgan Stanley (CRD#:149777)
  • Morgan Stanley & Company (CRD#:8209)
  • Citigroup Global Markets (CRD#:7059)
  • Legg Mason Wood Walker (CRD#:6555)
  • Prudential Securities (CRD#:7471)

Kurta Law Can Help

If you worked with Todd Kalish 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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