Mitchell Kurtz, formerly with Henley & Company, Barred from Securities Industry
Have you lost money with financial advisor Mitchell Kurtz of Uniondale, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Mitchell Allen Kurtz. FINRA barred Mitch Kurtz from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Mitch Kurtz after he was alleged to have engaged in outside business activities without disclosing such to his former brokerage firm, Henley & Company (or “selling away”).
Mitchell Kurtz was a financial advisor and registered representative of Henley & Company from January 2010 to July 2018. He worked at a branch office in Uniondale, New York. Kurtz was also suspended for 45 days back in 2012.
Brokerage firms like Henley & Company have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Kurtz, Mitchell FINRA AWC
Click to view: Kurtz, Mitchell BrokerCheck 12.4.18
If you lost money with Mitchell Kurtz or Henley & Company, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.