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Jon Urbach Allegedly Made an Improper Referral

Jon Urbach (CRD #: 5308455), a broker registered with Fidelity Brokerage Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on August 14, 2024. Details concerning this dispute are provided below. 

Investor Allegations 

On July 2, 2024, an investor alleged that Jon Urbach made an improper referral to an unaffiliated advisor. The investor is seeking $426,273. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Improper referrals violate this rule. 

Background Information 

Jon Urbach 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 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 
  • Series 10 General Securities Sales Supervisor – General Module Examination 
  • Series 9 General Securities Sales Supervisor – Options Module Examination 

He is a registered broker in 37 states and is a registered investment adviser in Illinois and Texas. 

During his 17 years of experience, Jon Urbach has registered with four firms: 

  • Fidelity Brokerage Services (CRD #: 7784) 
  • Fidelity Personal and Workplace Advisors (CRD #: 288590) 
  • Strategic Advisors (CRD #: 104555) 
  • Fidelity Investments Institutional Services Company (CRD #: 17507) 

Kurta Law Can Help 

If you worked with Jon Urbach and you 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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