DID MITCHELL ALLEN KURTZ CAUSE YOU INVESTMENT LOSSES?
Mitchell Kurtz Formerly With Henley & Company Has 4 Customer Complaints For Alleged Broker Misconduct
Who is Mitchell Kurtz formerly with Henley & Company?
Mitchell Kurtz (CRD #2437746) who was formerly registered with Henley & Company and located in Roslyn Heights, New York is a subject of one of our many securities industry sales practice abuse investigations.
Mitchell Kurtz has also been the subject of a FINRA investigation into whether he engage in outside business activities, selling away, violated professional standards in the firm’s code of ethics. He refused to provide FINRA with the requested documents and information in connection with its investigation and consequently he was permanently barred from any further association with any member firm in any capacity.
Mitchell Kurtz Customer Complaints
Mitchell Kurtz has been the subject of 4 customer complaints that we know about. Three of Mitchell Kurtz’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Henley & Company for investment losses caused by Mitchell Kurtz’s alleged misconduct.
Allegations Against Mitchell Kurtz
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Alleged churning, unsuitability by Mitchell Kurtz.
- Mitchell Kurtz alleged breach of fiduciary duty, breach of the covenant of good faith and fair dealing, breach of contract, breach of broker’s duty of reasonable care, churning, unsuitable transactions, unauthorized transactions, breach of a brokerage’s duty to supervise and ensure compliance, negligent and intentional misrepresentation; fraud & deceit, negligence, tortious malpractice as a licensed securities professionals, violations of various state securities laws, violations of state consumer protection laws prohibiting deceptive and unfair trade practices, violations of NASD, NYSE, FINRA and American Stock Exchange rules.
- Claim made against the firm that we had failed to monitor and adequately supervise Mitchell Kurtz while employed by the firm.
- Mitchell Kurtz’s alleged suitability, breach of contractual duty, misrepresentation, breach of fiduciary duty.
Mitchell Kurtz Red Flags & Your Rights As An Investor
Of course, Mitchell Kurtz did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mitchell Kurtz at Henley & Company on alert to review carefully the activity and performance of their accounts and question whether Mitchell Kurtz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Henley & Company also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Henley & Company Due To Mitchell Kurtz
If you have questions about Henley & Company and/or Mitchell Kurtz and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.