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Hemant Kathuria Allegedly Misrepresented an Alternative Investment

Hemant Kathuria (CRD #: 5380092), a broker registered with Alliance Global Partners, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on October 14, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On July 1, 2024, an investor alleged that Hemant Kathuria failed to disclose the fees and risks associated with an alternative investment. The investor is seeking $200,000. 

Misrepresentation 

FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

Background Information 

Hemant Kathuria has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination 
  • Series 7 – General Securities Representative Examination
  • Series 4 Registered Options Principal Examination
  • Series 24 General Securities Representative Examination 

He is a registered broker in 50 states, D.C., and Puerto Rico. He is a registered investment adviser in California and Texas. 

Hemant Kathuria has registered with the following firms: Alliance Global Partners (CRD #: 8361) and Digital Offering (CRD #: 166401). 

Kurta Law Can Help 

If you worked with Hemant Kathuria and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.