March 2018- El Segundo, CA
The FINRA records of Hemant Kathuria , a stockbroker who is currently employed by Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes.
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.
In currently pending FINRA arbitration 16-2859 a customer of Euro Pacific Capital alleges damages of $791,608 for negligence, suitability, intentional misrepresentations and omissions; fraud, control person liability, breach of fiduciary duty, failure to supervise, violations of the California Securities Act, and other claims for mismanagement of the customer’s account during the time period of 1/2010-6/2014.
The investment products complained of include:
- mutual funds
- oil and gas investments
- promissory notes
- private placements.
Hemant Kathuria has been employed by Euro Pacific Capital since 8/2007. Kathuria was also registered with Digital Offering LLC of Laguna Beach from 4/2014-11/2016.
If you have questions about an account handled by Hemant Kathuria, call for a no charge consultation to discuss your options.
Euro Pacific Capital , headquartered in Westport, CT, is registered in 52 US states and territories. Peter D. Schiff is CEO, President and Chief Financial Officer. Euro Pacific’s FINRA records disclose 11 prior final regulatory matters and 4 final customer arbitrations.
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.
Florida-561 391 1900