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Written by 8:30 pm Blog, Current Investigations

Mitchell Kurtz Barred from Securities Industry

Mitchell Kurtz

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

If you have invested with Mitchell Kurtz and are concerned about your investments, the securities attorneys at The White Law Group may be able to help you. For a free consultation with a securities attorney, please call our offices at 888-637-5510.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida.

For more information on The White Law Group, please visit our website at https://whitesecuritieslaw.com.





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