FINRA Suspends Rod Hurowitz

Rod Hurowitz (CRD #: 2449343), a broker registered with Equity Services, has been suspended by FINRA, according to his BrokerCheck record, accessed on February 7, 2025. Investors may have also worked with him through ESI Financial Advisors. If you have questions about his alleged conduct as a broker, read on.

FINRA Suspension

On January 29, 2025, Rod Hurowitz consented to the entry of findings that he allegedly certified to the State of New York in December 2022 that he had personally completed the requisite continuing education credits needed to renew his state insurance license.

According to a Letter of Acceptance, Waiver & Consent (AWC), another individual allegedly completed these credits on behalf of Rod Hurowitz in September 2022. Rod Hurowitz allegedly knew this when he certified to the State that he had completed the credits himself.

The AWC concluded that these allegations constitute a violation of FINRA Rule 2010.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

Rod Hurowitz consented to the following sanctions:

• One-month suspension from associating with FINRA members
• $5,000 fine

His suspension will begin on February 18, 2025, and will end on March 17, 2025. You can access the AWC here.

Termination from MetLife Securities

On January 12, 2016, Rod Hurowitz was fired from MetLife Securities after branch management allegedly lost confidence in him with regard to his management responsibilities. He allegedly also provided inconsistent statements during an internal review.

Background Information

Rod Hurowitz has passed the following exams:

• General Securities Sales Supervisor – General Module Examination – Series 10
• General Securities Sales Supervisor – Options Module Examination – Series 9
• Investment Company Products/Variable Contracts Principal Examination – Series 26
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Securities Agent State Law Examination – Series 63

Rod Hurowitz is a registered broker in 23 states and the District of Columbia. He is also a registered investment adviser in New York.

He has also worked for MetLife Securities (CRD#:14251) and Metropolitan Life Insurance Company (CRD#:4095).

Kurta Law Can Help

If you worked with Rod Hurowitz and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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 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.