INVESTOR ALERT: Harold Couglar of San Diego BARRED
Have you lost money with financial advisor Harold Couglar of Montage Securities in San Diego, California?
We are investigating allegations made by the Oregon Division of Financial Regulation against Harold F. Couglar. Oregon barred Couglar from the securities industry. Oregon was investigating Couglar regarding allegations that he opened discretionary trading accounts at an outside brokerage firm without notifying his employing brokerage firm, Montage Securities. Couglar received compensation from the trading but did not disclose such to Montage Securities located in San Diego, CA. He was also previously barred by FINRA for engaging in this trading.
Harold Couglar was a financial advisor and registered representative of Montage Securities from March 2012 to January 2017. He worked at a branch office in San Diego, California.
Brokerage firms like Montage Securities have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Vancouver, Washington; Seattle, Washington; and Denver, Colorado. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout California and Oregon. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past.
Click to view: Couglar, Harold BrokerCheck 5.10.19
Click to view: Couglar, Harold Oregon Order
If you lost money with Harold Couglar or Montage Securities, CONTACT US at 720-599-3505 for a free evaluation of your case.