April 20, 2016 Comments (0) Blog, Securities Fraud

Stuart Horowitz Suspended by FINRA

Stuart Horowitz
(Last Updated On: April 13, 2017)

Recovery of Investment Losses with Stuart Horowitz

Have you suffered financial losses as a result of investments made with Stuart Horowitz? If so, The White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA).

According to the South Florida Business Journal, FINRA has accused Stuart Horowitz of recommending and conducting unsuitable trades involving prefered notes. Allegedly, Horowitz failed to investigate red flags related to the notes. In addition, he is accused of continuing to recommend that clients convert their interests into the funds preferred note, even after he allegedly learned about problems with the fund, which earned him $200,000 in commissions.

Without admitting or denying the findings, Horowitz consented to FINRA’s sanction of a $100,000 fine and a one-year suspension from the securities industry.

The White Law Group is investigating the liability that Horowitz’s employer may have for his actions, if any. When a broker violates industry rules while associated with a FINRA registered brokerage firm, the firm may be liable for negligent supervision and may be responsible for losses.

According to Stuart Horowitz’s BrokerCheck Report he has been a registered representative with NFP Securities. He was registered with Securities America in Coral Springs, FL from 02/19/2009 – 01/25/2016. He has forty (40) disclosures listed on his FINRA Broker Report, including thirty-eight (38) customer complaints. Allegations include misrepresentation, unsuitability, fraud, breach of fiduciary duty, and failure to supervise, among others.

If you suffered losses investing with Stuart Horowitz and and would like to speak with a securities attorney, call The White Law Group at 1-888-637-5510 for a free consultation.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices located in Chicago, Illinois and Vero Beach, Florida.

For more information on The White Law Group, please visit our website at www.WhiteSecuritiesLaw.com.