The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Michael M. Hurtgen discloses that he was discharged from Raymond James Financial in February 2016. The company made the following allegations on Hurtgen’s FINRA record: “Terminated for soliciting interest in a private placement, for a firm approved outside business activity and company owned by FA, to clients without approval. The solicited parties were a relative of FA and a longtime client.”
Hurtgen has been employed by Girard Securities since 3/2016. He was employed by Raymond James from 6/2009-3/2016.
If you have questions about an account handled by Michael M. Hurtgen, call for a no charge consultation.
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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