VICTIMS of HOWARD UTZ of Mars, PA Recover Money
Howard Utz, formerly with Hazard & Siegel, Barred from Securities Industry
Have you lost money with financial advisor Howard Utz of Mars, Pennsylvania? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Howard Utz. FINRA barred Utz from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Utz after he converted customer funds by “acceptance of checks from clients made personally” to Utz.
Howard Utz was a financial advisor and registered representative of Hazard & Siegel from September 2015 to June 2018. He worked at a branch office in Mars, Pennsylvania. Utz also operated Utz Financial Services.
Brokerage firms like Hazard & Siegel 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 Denver, Colorado; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Pennsylvania and the greater Pittsburgh area, such as victims of the Doug Simanski Ponzi scheme. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Utz, Howard BrokerCheck 9.10.18
Click to view: Utz, Howard FINRA AWC
If you lost money with Howard Utz or Hazard & Siegel, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.