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Seth Horowitz Facing a FINRA Suspension

Seth Horowitz (CRD #: 2557141) has been suspended by FINRA. This is according to his BrokerCheck record, accessed on May 13, 2024. Keep reading if you have questions regarding his alleged conduct. 

Regulatory Action 

On March 15, 2024, FINRA suspended Seth Horowitz following allegations that he failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. This suspension will continue until the required payment is made or discharged.

You can read a copy of the arbitration award here

Background Information 

Seth Horowitz has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination 

During his 23 years of experience, Seth Horowitz has registered with eight firms. These are the five most recent: 

  • JP Morgan Securities (CRD #: 79) 
  • UBS Financial Services (CRD #: 8174) 
  • Morgan Stanley Smith Barney (CRD #: 149777) 
  • CitiGroup Global Markets (CRD #: 7059) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 

Kurta Law Can Help 

If you have worked with Seth Horowitz 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.

 

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