Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Kurtz (Kurtz), previously associated with U.S. Bancorp Investments, INC., has at least 2 disclosable events. These events include 2 regulatory events, alleging that Kurtz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on April 01, 2024.
Without admitting or denying the findings, Kurtz consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA related to a matter that originated from the submission of a Form U5 by his member firm disclosing that he was discharged for a violation of code of ethics and business conduct related to misuse of a personal bank account.