James M. Hurty, of Rocky Hill, Connecticut, a stockbroker formerly registered with Citizens Securities, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Hurty obstructed a FINRA investigation into allegations that he forged customer account documentation. Letter of Acceptance, Waiver and Consent, No. 2017053851501 (July 12, 2017).
FINRA Public Disclosure reveals that on March 23, 2017, Hurty was fired by Citizens Securities, Inc. based upon the firm’s allegations that Hurty signed customer documents without authorization. According to the AWC, Hurty became investigated by FINRA in April of 2017 in reference to the allegations of his wrongdoing. Apparently, Hurty was sent a request by FINRA staff on April 28, 2017, wherein FINRA sought documentation and information from him in this regard.
Hurty’s counsel reportedly communicated with FINRA and received an extension of time to respond to the regulator; however, his counsel then confirmed with FINRA on May 26, 2017, that Hurty would not be cooperating. FINRA found that Hurty’s failure to cooperate was conduct violative of FINRA Rules 2010 and 8210.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
