Howard Utz – Financial Advisor Howard Utz Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Howard Utz Financial Advisor CRD #2672208
Howard Utz was licensed with Hazard & Siegel, Inc. from 2015 to 2018. Howard Utz was previously licensed with Securities America, Inc. and Sunset Financial Services, Inc. FINRA reports that Howard Utz was discharged from Hazard & Siegel, Inc. on June 1, 2018. Hazard & Siegel, Inc. reported to FINRA of allegations of failing to report outside business activities – failure to report private security transactions. Hazard & Siegel, Inc. also reported allegations of acceptance of checks from clients made personally payable to Howard Utz, with subsequent conversion to personal use.
Howard Utz was barred from the securities and investment banking industry on September 7, 2018. FINRA reports that Howard Utz consented to the sanction and to the entry of findings that Howard Utz failed to provide FINRA with requested documents and information with its review of the allegations reported on his Form U5 that Howard Utz failed to report outside business activities and private security transactions, and accepted checks from clients made personally payable to him, with subsequent conversion to personal use.
FINRA also reports that both the SEC and FBI have pending investigations involving Howard Utz’ conduct.
If you lost any money on investments with Howard Utz, you may be able to recover your losses from Hazard & Siegel, Inc., Securities America, Inc. and/or Sunset Financial Services, Inc. This is because Hazard & Siegel, Inc., Securities America, Inc. and Sunset Financial Services, Inc. had a duty to supervise Howard Utz.
If you lost money on investments with Howard Utz and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Hazard & Siegel, Inc., Securities America, Inc. and/or Sunset Financial Services, Inc. concerning Howard Utz’ conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Howard Utz and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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