Category Archives: Kuhn Brothers Securities

Kuhns Brothers Securities Broker Sanctioned by FINRA

July 15, 2015-

Jeffrey Howard Auerbach  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040 and FINRA Rule 2010 by participating in three private securities transactions without first seeking and receiving written approval from his FINRA member firm.

AWC NO. 2014039856801

Auerbach  was  fined $15,000 and suspended for 90 days.

According to FINRA records, Auerbach has been registered with Kuhns Brothers Securities Corp. since April 2013. Prior to that he was registered with Westor Capital Group, National Securities Corp. and Finance Investments, Inc. 

Kuhns Brothers Securities has been registered since 1999 and is headquartered in Lakeville, CT.

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