Tag Archives: Mitchell Allen Kurtz

Investors Sue Henley Company For Failure To Supervise

October 18, 2019  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Investors Sue Henley Company For Failure To Supervise

Mitchell Allen Kurtz (also known as Mitch Allen Kurtz) of Roslyn Heights New York a stockbroker formerly registered with Henley Company LLC is the subject of a customer initiated investment related arbitration claim in which the customer sought $691,367.14 in damages based upon accusations that Henley Company LLC failed to supervise Kurtz’s activities or trades […]

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FINRA Bars Henley Broker For Obstructing Investigation

December 13, 2018  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims, Selling Away and Outside Activities   |   Comments Off on FINRA Bars Henley Broker For Obstructing Investigation

Mitchell Allen Kurtz of Roslyn Heights New York a stockbroker formerly employed by Henley Company LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into accusations that Kurtz violated Securities and Exchange Commission (SEC) and FINRA […]

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