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Broker Howard Utz The Subject Of Two Investigations

Howard Raymond Utz (CRD #2672208) is a former broker whose last registered employer was Hazard & Siegel, Inc. (CRD #2048) of Mars, PA, from 09/24/2015 through 06/01/2018. His previous employers include Securities America, Inc. (CRD #10205) and Sunset Financial Services, Inc. (CRD #3538), both of Mars, PA. No current employment information is available. He has been in the industry since 1995.

Former-New-York-Life-Broker-Jonathan-Williams-Barred-by-FINRA-as-a-Result-of-Outside-Business-Activities-300x200Utz was discharged on 6/1/2018 from Hazard & Siegel as a result of allegations that he failed to report outside business activities and private security transactions. It was also alleged that Utz accepted and received checks in his own name and converted them to personal use. No other information is available from this disclosure.

Two additional disclosures indicating an investigation are also in his record. The first, filed on 05/25/2018, indicate that the FBI is conducting an investigation into Utz’s activities. However, no additional information is available. The second, filed on 01/30/2018, indicate the SEC was also conducting an investigation, but again, no additional information is listed nor available.

Have You Invested Money With Howard Utz?

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct.  Most cases handled on a contingent fee basis. This means that you won’t any pay legal fees unless we are successful. Call us toll free at 800-975-4345, or use our online contact form to get in touch.

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