Harold Francis Couglar of San Diego California a stockbroker formerly registered with Montage Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he (1) failed to report his discretionary trading of customer accounts held away from Montage Securities and (2) […]
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Tag Archives: Montage Securities LLC
FINRA Bars Montage Stockbroker For Unauthorized Trading
May 31, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities, Unauthorized Trading | 0 Comments
Montage Broker Investigated For Unauthorized Trading
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 […]
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