Mitchell Kurtz – Henley & Company – Roslyn Heights, New York
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor Mitchell Kurtz (CRD# 2437746) from associating with any FINRA member at any time.
Without admitting or denying the findings, Kurtz reportedly consented to the sanction and to the entry of findings that he failed to provide FINRA with requested documents and information during its review of the information on Kurtz’s Form U5 filed by his member firm stating that he violated both FINRA and SEC rules and firm policies and procedures.
The findings further stated that Kurtz allegedly violated the firm’s policies and procedures regarding outside business activities, selling away, and fiduciary duty obligations.
According to his FINRA Broker Check report, Kurtz was a registered representative with Henley & Company in Roslyn Heights, New York from 2010 until he was reportedly discharged in July 2018 because he allegedly “violated both FINRA and SEC rules and firm policies and procedures regarding outside business activities, selling away, fiduciary duty obligations, violation of professional standards and the Firm’s Code of Ethics.”
Kurtz reportedly has 8 disclosure events listed on his broker report including two regulatory events, two employment separations, and three settled customer disputes.
For FINRA’s full findings see FINRA case # NO. 20180594237-01.
Free Consultation with a Securities Attorney
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