Tag Archives: Stuart Horowitz

Kestra Sued For Private Placement Investment Fraud

November 01, 2017  |   Posted by :   |   Private Placement Fraud   |   0 Comments

Stuart Horowitz, of Coral Springs, Florida, a stockbroker formerly registered with Kestra Investment Services, has been named in a customer initiated investment related arbitration claim, where the customer sought $70,000.00 in damages based upon allegations including the failure to conduct diligence on private placement investments; fraud; unsuitable investment recommendations; and the failure to supervise Horowitz’s […]

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Securities America Stockbroker With 39 Complaints Suspended For Unsuitable Recommendations

September 17, 2016  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

Stuart Horowitz, of Coral Springs, Florida, a stockbroker with Securities America, Inc., was fined $100,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he made unsuitable investment recommendations to customers. Letter of Acceptance, Waiver and Consent, No. 2013036692001 (Feb. […]

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