February 23, 2016- Coral Springs, FL
Stuart Horowitz entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between February 2009 and July 2009, Horowitz recommended and engaged in unsuitable trading in Preferred Notes of CSMIF. an unregistered limited partnership investment. Specifically, his recommendations lacked a reasonable basis because he failed to adequately investigate red flags that it was not a viable investment.
AWC No. 2013036692001
Horowitz was suspended from association with any FINRA member for 1 year and was fined $100,000.
FINRA records indicate that Horowitz was registered with Securities America from 2/2009-1/2016. Prior to that he was registered with NFP Securities from 7/2005-2/2009
Horowitz has been the subject of 32 customer disputes that have been resolved and 4 customer disputes are pending, according to FINRA records. In January 2016 he was permitted to resign from Securities America.
If you have losses in an account handled by Stuart Horowitz, contact us to find out how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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