Andrew Slocum, Formerly of Charles Schwab, Barred by FINRA After Failing to Respond to Information Request

Slocum is barred from associating with any FINRA member firm as of August 2020.

andrew-slocum-barred-by-finraAndrew 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

September 2019 Employment Separation After Allegations

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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.