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Zachary Shepard Terminated by The Huntington Investment Company

Zachary Shepard (CRD #: 6399643) was fired by The Huntington Investment Company. This disclosure appears on his BrokerCheck record, accessed on May 10, 2024. Details concerning this termination appear below. 

Employment Separation After Allegations

On March 21, 2024, The Huntington Investment Company fired Zachary Shepard following allegations that he engaged in off-channel communications in violation of the firm’s electronic communications policy. He also allegedly violated other unrelated policies. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violating a firm communications policy may violate this rule. 

Failure to Supervise 3110

FINRA Rule 3110 requires that firms establish systems of supervision to maintain their compliance with securities regulations. This supervision includes communications with clients, which means that brokers must used firm-approved channels of communication. 

Background Information 

Zachary Shepard has passed the following exams: 

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

During his eight years of experience, he has registered with three firms: 

  • The Huntington Investment Company (CRD #: 16986) 
  • PNC Investments (CRD #: 129052) 
  • Edward Jones (CRD # 250) 

Kurta Law Can Help 

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