Mitchell Alan Kurtz (CRD #2437746) is a former registered broker and investment advisor whose last employer was Henley & Company LLC (CRD #131453) of Roslyn Heights, NY. His previous employers are Raymond James Financial Services, Inc. (CRD #6694), also of Roslyn Heights, and Advest, Inc. (CRD #10) of Hartford, CT. He has been in the industry since 1994.
FINRA recently barred Kurtz “indefinitely,” effective 12/3/2018, after he declined to provide information requested in conjunction with an investigation. He is barred from any association with a FINRA member firm, and signed an Acceptance, Waiver & Consent (AWC) letter agreeing to the sanctions.
The investigation came after Kurtz was discharged from his last employer, Henley & Company on 7/30/2018. Kurtz violated both FINRA and SEC policies with regards to “outside business activities, selling away, fiduciary duty obligations, violation of professional standards and the Firm’s Code of Ethics.” This discharge led to the FINRA investigation, in which he declined to participate.
Kurtz was previously sanctioned by FINRA on 08/09/2012, after allegations that he altered information on new account forms instead of completing amended new account forms. By doing so, the firm was keeping “incorrect records.” These sanctions included a 45-day suspension, a $10,000 fine, and a requirement of requalification. Kurtz paid the fine, signed an AWC letter, then stated for the record that he was simply correcting information that was incorrect, and no information was ever falsified. He was working for Raymond James at the time the information change occurred, and as a result, the firm terminated his employment on 12/15/2009.
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