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2025088487601 Harvey Alan Brode CRD 31169 AWC lp.pdf
From June 30, 2020, to May 10, 2024, when recommending that his retail customers sell
Class A mutual funds and then purchase new Class A mutual funds that imposed a new
front-end sales charge, Brode failed to consider whether his customers could have
achieved their objectives by exchanging into a new mutual fund within the same fund
family, which would not have required the customers to pay a new front-end sales charge.
As a result, Brode willfully violated the Care Obligation of Rule 15/-1 of the Securities
Exchange Act of 1934 (Reg BI) and violated FINRA Rule 2010.
KEEFE, BRUYETTE & WOODS, INC.
Information
- Reporter ID
- KBBD
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/kbwi/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-29-2026 | https://public.s3.com/rule605/kbwi/ |