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Steven Reed Resigned After Allegedly Violating Firm Policy

Steven ReedPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that Iowa-based Client One Securities broker/adviser Steven Reed recently resigned from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Reed (CRD# 1935954).

Steven Reed has spent 28 years in the securities industry and has been registered with Client One Securities in Urbandale, Iowa since February 2018. Previous registrations include Northwestern Mutual Investment Services in West Des Moines, Iowa (1989-2018) and Robert W. Baird & Company in Milwaukee, Wisconsin (1989-2002). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 15, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 19, 1989; and Series 7 (General Securities Representative Examination), which he obtained on April 15, 1989. He is a registered broker and investment adviser with six US states: Alabama, Indiana, Iowa, Minnesota, Nebraska, and Oregon. He is registered with one self-regulatory organization (SRO): FINRA.

According to his BrokerCheck report, Steven Reed recently resigned from his former employer in connection to alleged rule violations.

In December 2017 he was “permitted to resign” from his position at Northwestern Mutual Investment Services in connection to allegations he recommended and facilitated life settlements involving two customers, constituting a violation of firm policies which he “had acknowledged and with which he had agreed in writing to comply.”

If you have lost money investing with Steven Reed, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.