The following information has been obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.”
Carl Max Birkelbach (CRD #1177843, Registered Principal, Chicago, Illinois)
was suspended from association with any FINRA member in any capacity for two years. Without admitting or denying the allegations, Birkelbach consented to the described sanction and to the entry of findings that he recommended and executed transactions in customers’ accounts that were excessive and unsuitable for the customers based on their investment objectives, financial situation and needs, and lack of knowledge and experience necessary to understand the risks associated with the recommended transactions. The clients gave Birkelbach discretion to effect trades. The suspension is in effect from July 15, 2013, through July 14 2015.
(FINRA Case #2011025843301)
Carl M. Birkelbach was previously registered with FINRA at the following brokerage firms:
BIRKELBACH INVESTMENT SECURITIES, INC.
CRD# 11490
CHICAGO, IL
07/1983 - 10/2011
This ends the information obtained from FINRA’s website.
If you feel your account has been excessively traded by your broker, call Soreide Law Group for a free consultation at (888) 760-6552.
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