Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that former Missouri-based CFD Investments broker/adviser Frederick Schwarb recently resigned from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Schwarb (CRD# 6420837).
Frederick Schwarb has spent two years at the securities industry and was most recently registered with CFD Investments in St. Louis, Missouri (2016-2017). Previous registrations include Cetera Advisor Networks in St. Louis, Missouri (2017) and Merrill Lynch in Clayton, Missouri (2015-2016). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, Frederick Schwarb has resigned from one former employer and was discharged from another former employer in connection to alleged rule violations.
In September 2017 he voluntarily resigned from Cetera Advisor Networks “after notifying the firm that representative expected disciplinary action to be imposed by FINRA relating to matters that occurred at representative’s prior broker-dealer.”
In 2016 he was terminated from his position at Merrill Lynch following allegations of “Conduct including using personal email for business communication and sending unapproved marketing materials to firm prospects, resulting in a loss of management’s confidence.”
If you or someone you know has a complaint regarding Frederick Schwarb, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.