Hemant Kathuria of Manhattan Beach California is a stockbroker and securities principal currently registered with Euro Pacific Capital Inc. who is the subject of a customer initiated investment related arbitration claim in which the customer sought $791,607.53 in damages founded on allegations including (1) breach of contract (2) violation of Financial Industry Regulatory Authority (FINRA) Rules (3) violation of California Securities Act (4) breach of fiduciary duty (5) fraud and (6) misrepresentation. FINRA Arbitration No. 16-02859 (Oct. 7, 2016).
FINRA Public Disclosure reveals that Kathuria has been referenced in three additional customer initiated investment related disputes containing accusations of his improper conduct while employed with Euro Pacific Capital, Inc. In particular, a customer initiated investment related arbitration claim that pertained to Kathuria’s conduct was settled for $14,950.00 in damages supported by allegations that foreign equities transactions were executed in the customer’s account that were not suitable for the customer. FINRA Arbitration No. 11-02110 (Nov. 30, 2011).
Thereafter, on June 21, 2014, a customer filed an investment related written complaint regarding Kathuria’s activities alleging that the customer’s assets were allocated in private placements that were not suitable for the customer. On February 9, 2015, another customer filed an investment related written complaint involving Kathuria’s conduct alleging that Kathuria provided the customer with faulty assurances about the customer’s private direct investment performance.
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