Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former Pennsylvania-based Hazard & Siegel broker/adviser Howard Utz was recently discharged from his former employer in connection to alleged rule violations and has been named in pending investigations by regulatory authorities. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Utz (CRD# 2672208).
Howard Utz has spent 22 years in the securities industry and was most recently registered with Hazard & Siegel in Mars, Pennsylvania (2015-2018). Previous registrations include Securities America in Mars, Pennsylvania (2014-2015) and Sunset Financial Services in Mars, Pennsylvania (1995-2014). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 18, 1995; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 19, 1995; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on June 28, 2001. He is currently not registered with any state or firm.
According to his BrokerCheck report, Howard Utz was recently discharged from his former employer and he has been named in regulatory investigations.
In June 2018 he was terminated from his position at Hazard & Siegel following allegations he failed to report outside business activities, failed to report private security transactions, and accepted checks from clients which were made personally payable to him, which he subsequently converted for personal use.
In May 2018 he was named respondent in an FBI investigation into unspecified allegations. The investigation remains pending.
In January 2018 he was named respondent in an SEC investigation into unspecified allegations. The investigation remains pending.
If you or someone you know has lost money investing with Howard Utz, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.