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Fredric Horowitz Allegedly Executed Unauthorized Transactions

Fredric Horowitz (CRD #: 250382), a broker registered with MML Investors Services, was recently the subject of a dispute, according to his BrokerCheck record, accessed on December 26, 2022. Read on if you have questions about his alleged conduct as a broker.

Investor Dispute

On November 4, 2022, an investor alleged that Fredric Horowitz made multiple unauthorized purchases of certificates of deposit in 2022, causing financial harm to the client. The firm denied this dispute.

However, investors should know that firms can deny disputes without an external review. Investors may be able to recover their losses by seeking out FINRA arbitration after a denial.

FINRA Rule 3260

FINRA Rule 3260 prohibits brokers from conducting discretionary trading outside of accounts approved by their client and firm.

Background Information

Fredric Horowitz has passed the following exams:

  • Series 65 Uniform Adviser Law Examination 
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 1 – Registered Representative Examination
  • Series 53 – Municipal Securities Principal Examination
  • Series 24 – General Securities Principal Examination

Fredric Horowitz is a registered broker in 22 states and the District of Columbia. He is also a registered investment adviser in New York and Texas.

He has also worked for the following firms:

  • G. R. Phelps & Company (CRD#:173)
  • Nathan & Lewis Securities (CRD#:8503)
  • Great Northern Investors Corporation (CRD#:368)
  • Creative Programs Corporation (CRD#:189)

Kurta Law Can Help

If you worked with Fredric Horowitz and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.