Customer Complaint Involving PHX Financial Advisor Kirt Samuel

Did you lose money investing with financial advisor Kirt Samuel at PHX Financial? Our securities arbitration law firm is reviewing allegations involving Kirt Samuel, who worked in a New York City office.

Allegations Regarding Kirt Samuel’s BrokerCheck Report

BrokerCheck discloses that Kirt Samuel has been the subject of three customer complaints. One complaint from 2016 settled for $1.8 million.

The most recent complaint was made in June 2026. The complaint alleges that a customer lost money in private placements that were recommended by Samuel in 2020 and 2021. The case was filed in FINRA arbitration.

Background on Kirt Samuel

Kirt Samuel had been licensed with PHX Financial since July 2018 at a New York, New York office. Samuel was also the subject of a regulatory action by Massachusetts in 2024, and Samuel was required to be under heightened supervision by PHX Financial.

Can PHX Financial Be Responsible for Samuel’s Conduct?

Under FINRA Rule 3110, broker-dealers like PHX Financial must reasonably supervise the activity of its advisors. PHX Financial could be responsible for investor losses if it failed to reasonably supervise him.

We Help Investors Nationwide, Including in New York

We represent investors throughout the country, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. If you were a client of Kirt Samuel and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

View Samuel’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We have experience representing New York investors and are ready to help you recover what you deserve.

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