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.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer

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

Tags: , ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)

Website