Yaron Katz is the Subject of Two New York Stock Exchange Investigations
Yaron Katz (CRD #:6012416), a broker registered with GTS Securities, is the subject of two New York Stock Exchange investigations, according to his BrokerCheck record, accessed on February 15, 2022.
New York Stock Exchange Allegations
- On December 9, 2021, Yaron Katz was the subject of a New York Stock Exchange Investigation alleging violations of 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5, Sections 9(a)(1) and (2) of the Exchange Act, Section 20(a) of the Exchange Act.
- On June 18, 2021, Yaron Katz was the subject of a New York Stock Exchange Investigation alleging violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
Section 10(b) of the 1934 Exchange Act forbids “manipulative and deceptive practices” in the sale of securities.
Yaron Katz has passed the following exams:
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
- Series 56 – Proprietary Trader Qualification Examination
- Series 24 – General Securities Principal Examination
Besides GTS Securities, he has not worked with any other firm.
Kurta Law Can Help
If you have worked with Yaron Katz and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or email@example.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 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.