Harry Francis Couglar of San Diego California is a stockbroker formerly registered with Montage Securities LLC who is the subject of a Financial Industry Regulatory Authority (FINRA) Wells Notice where FINRA recommended that disciplinary action be pursued against Couglar for his unauthorized trading in customer accounts and for Couglar’s failure to report his activities to his firm. Wells Notice Examination No. 20170527159 (Nov. 28 2017).
FINRA Public Disclosure reveals that Couglar had not informed his employer about the customer accounts he traded in on a discretionary basis; conduct violative of FINRA Rules 2010 and National Association of Securities Dealers (NASD) Rule 3050. Couglar reportedly submitted compliance questionnaires from 1998 through December of 2016, where he provided false details to his firm about his activities; conduct violative of FINRA Rule 2010. FINRA also noted that Couglar’s failure to disclose an outside business activity was violative of FINRA Rules 2010 and 3270.
On December 13, 2016, Couglar was fired from Montage Securities, LLC and Mariner Wealth Advisors, LLC based upon accusations that Couglar was listed as an interest party on the accounts of customers who were not Mariner Wealth Advisors clients.
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