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William Evans Terminated by Fidelity Brokerage Services

Aug 7, 2023 Fired Brokers

William Evans (CRD #: 6534305) has been fired by Fidelity Brokerage Services in Westlake, Texas. This is according to a disclosure that appears on his BrokerCheck record, accessed on August 4, 2023. Keep reading for more details on his termination. 

On June 16, 2023, William Evans was fired by Fidelity Brokerage Services following allegations that he documented leaving voicemails for a client when he had not done so. 

FINRA Rule 4511

FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records. Inaccurate documentation may compromise the accuracy of the firm’s records. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of Rule 4511 may also violate FINRA Rule 2010. 

Background Information 

William Evans has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

Kurta Law Can Help

If you worked with William Evans 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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