Tag Archives: Hazard Siegel Inc.

FINRA Bars Hazard Siegel Broker In Theft Investigation

Howard Raymond Utz of Mars Pennsylvania a stockbroker formerly registered with Hazard Siegel Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA’s investigation into allegations of his conversion of a customer’s funds. Letter of Acceptance […]

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Hazard Siegel Discharges Stockbroker For Selling Away

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 […]

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