{"id":7760,"date":"2019-02-05T16:16:30","date_gmt":"2019-02-05T21:16:30","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7760"},"modified":"2019-02-05T16:16:30","modified_gmt":"2019-02-05T21:16:30","slug":"finra-bars-broker-mitchell-kurtz-for-violations-including-selling-away","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-mitchell-kurtz-for-violations-including-selling-away\/","title":{"rendered":"FINRA Bars Broker Mitchell Kurtz For Violations Including Selling Away"},"content":{"rendered":"

Mitchell Alan Kurtz (CRD #2437746<\/a>) 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.<\/p>\n

\"FINRA-Permanently-Bars-Barry-Hartman-From-Securities-Activity-for-Alleged-\u201cSelling-Away\u201d-Activities-300x209\"FINRA recently barred Kurtz \u201cindefinitely,\u201d 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.<\/p>\n

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 \u201coutside business activities, selling away, fiduciary duty obligations, violation of professional standards and the Firm’s Code of Ethics.\u201d <\/em>This discharge led to the FINRA investigation, in which he declined to participate.<\/p>\n

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

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 […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[579,1101,584,580],"tags":[1359,1549,1547,1548,97],"class_list":["post-7760","post","type-post","status-publish","format-standard","hentry","category-broker-permanently-barred","category-recent-investigations","category-selling-away","category-stockbroker-misconduct","tag-finra-arbitration-lawyer","tag-henley-company-llc","tag-mitchell-kurtz","tag-mitchell-kurtz-henley-company-llc","tag-selling-away"],"yoast_head":"\nFINRA Bars Broker Mitchell Kurtz For Violations Including Selling Away — Securities Arbitration Lawyers Blog — February 5, 2019<\/title>\n<meta name=\"description\" content=\"Mitchell Alan Kurtz (CRD #2437746) is a former registered broker and investment advisor whose last employer was Henley & Company LLC (CRD #131453) of — February 5, 2019\" \/>\n<meta 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