{"id":6596,"date":"2018-09-05T16:23:17","date_gmt":"2018-09-05T20:23:17","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6596"},"modified":"2018-09-05T16:23:17","modified_gmt":"2018-09-05T20:23:17","slug":"finra-bars-broker-herbert-voss-jr-after-allegations-of-unauthorized-trading","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-herbert-voss-jr-after-allegations-of-unauthorized-trading\/","title":{"rendered":"FINRA Bars Broker Herbert Voss, Jr. After Allegations of Unauthorized Trading"},"content":{"rendered":"

\"South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-300x200\"Herbert Voss, Jr. (CRD #1014475<\/a>) is a previously registered broker and investment advisor, whose was last registered with StockCross Financial Services, Inc. (CRD #6670) of Beverly Hills, CA. His previous employers include UBS Financial Services Inc. (CRD #8174), also of Beverly Hills, and Waterhouse Securities, Inc. (CRD #7870). No current employment information is available. He has been in the industry since 1982.<\/p>\n

FINRA began investigating Voss after allegations that he engaged in unauthorized trading<\/a> in a customer\u2019s account. After FINRA sent Voss a letter on 4\/25\/2018 requesting on-the-record testimony in the investigation, his counsel responded that Voss declined the request to testify at any time. Voss was then barred in all capacities by FINRA from associating with any associated brokerage, effective 5\/23\/2018. StockCross then discharged Voss from his employment.<\/p>\n

Voss\u2019 most recent customer complaint was filed on 12\/15\/2017, alleging \u201cPoor Performance, Fiduciary Breach and Failure to Supervise.\u201d <\/em>Damages requested total $550,000. Voss\u2019 response was that the facts are being discussed by counsel for both parties. The case is currently listed as \u201cpending.\u201d<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Herbert Voss, Jr. (CRD #1014475) is a previously registered broker and investment advisor, whose was last registered with StockCross Financial Services, Inc. (CRD #6670) of Beverly Hills, CA. His previous employers include UBS Financial Services Inc. (CRD #8174), also of Beverly Hills, and Waterhouse Securities, Inc. (CRD #7870). No current employment information is available. He […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[607,588,577,580,581],"tags":[1217,1219,290,1218],"class_list":["post-6596","post","type-post","status-publish","format-standard","hentry","category-failure-to-supervise","category-finra-arbitration","category-finra-disciplinary-actions","category-stockbroker-misconduct","category-unauthorized-trading","tag-herbert-voss","tag-scott-silver-stockcross-financial-services","tag-securities-arbitration","tag-stockcross-financial-services"],"yoast_head":"\nFINRA Bars Broker Herbert Voss, Jr. After Allegations of Unauthorized Trading — Securities Arbitration Lawyers Blog — September 5, 2018<\/title>\n<meta name=\"description\" content=\"Herbert Voss, Jr. (CRD #1014475) is a previously registered broker and investment advisor, whose was last registered with StockCross Financial Services, — September 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