Slocum is barred from associating with any FINRA member firm as of August 2020.
Andrew Slocum (CRD#: 3249791) was registered as a broker with Charles Schwab from 2016 until 2019. Previously, Slocum was registered as a broker with Merrill Lynch from 1999 until 2016.
Slocum has two disclosures on his BrokerCheck report.
May 2020 Regulatory Judgment
- Status: Final
- Initiated By: United States Securities and Exchange Commission
- Allegations: Respondent Slocum failed to respond to FINRA request for information.
- Resolution: Letter
- Sanctions: Bar
- Registration Capacities Affected: All capacities
- Duration: Indefinite
- Start Date: 8/24/2020
- Regulator Statement: Pursuant to FINRA Rule 9552(h) and in accordance with FINRA’s Notice of Suspension and Suspension from Association letters dated May 21, 2020 and June 15, 2020, respectively, on August 24, 2020, Slocum is barred from association with any FINRA member in all capacities. Respondent Slocum failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in all capacities.
September 2019 Employment Separation After Allegations
- Firm Name: Charles Schwab & Co., Inc.
- Termination Type: Discharged
- Allegations: Allegations relate to Mr. Slocum sending a bank form to a client for signature then completing and submitting the form for processing: there was no harm to the client. Further allegations relate to Mr. Slocum discussing private security transactions with clients and prospective clients without first obtaining Schwab Compliance approval.
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The Sonn Law Group is currently investigating allegations surrounding Andrew Slocum. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.
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