Goodman & Nekvasil P.A., May Recover Investor Losses | Mitchell Kurtz – Financial Advisor Mitchell Kurtz Barred from Securities Industry
Mitchell Kurtz is a formerly licensed financial advisor with Henley & Company LLC from 2010 to 2018. FINRA reports that Mitchell Kurtz was barred from the securities industry in 2018. FINRA reports that Mitchell Kurtz consented to the sanction and to the entry of findings that Mitchell Kurtz failed to provide FINRA with requested documents and information during its review of the information on Mitchell Kurtz’ Form U5 filed by his member firm stating that he violated both FINRA and SEC rules and firm policies and procedures. The findings stated that explicitly, Mitchell Kurtz violated the firm’s policies and procedures regarding outside business activities, selling away, fiduciary duty obligations, and he violated professional standards and the firm’s code of ethics.
FINRA also reports that Mitchell Kurtz was discharged from Henley & Company Wealth Management LLC on July 30, 2018. Henley & Company Wealth Management LLC reported to FINRA that the firm determined that based on recent discoveries, including discussions with Mitchell Kurtz and the SEC auditors, and admissions made during an interview with Mitchell Kurtz and management that it is necessary to terminate Mitchell Kurtz’ registrations with Henley & Company Wealth Management LLC. Henley & Company Wealth Management LLC reported that it was found that Mitchell Kurtz violated both FINRA and SEC rules and firm policies and procedures regarding outside business activities, selling away, fiduciary duty obligations, violation of professional standards and the firm’s code of ethics.
If you lost any money on investments with Mitchell Kurtz, you may be able to recover your losses from Henley & Company Wealth Management LLC. This is because Henley & Company Wealth Management LLC had a duty to supervise Mitchell Kurtz.
If you lost money on investments with Henley & Company Wealth Management LLC, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Henley & Company Wealth Management LLC concerning Mitchell Kurtz’ 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 Mitchell Kurtz 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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