Howard Raymond Utz of Mars Pennsylvania a stockbroker formerly employed by Hazard Siegel Inc. has been discharged by the firm on June 1, 2018 founded on accusations that Utz (1) converted funds belonging to customers (2) engaged in unapproved private securities transactions and (3) failed to notify the firm about his outside business activities.
FINRA Public Disclosure additionally reveals that on January 30, 2018, Utz became subject of an investigation by Securities and Exchange Commission (SEC). His activities are also subject of a May 25, 2018 investigation launched by the Federal Bureau of Investigation (FBI).
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