MITCHELL ALLEN KURTZ

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/03/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059423701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mitchell Kurtz, Respondent General Securities Representative, CRD No. 2437746 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018059423701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019378801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mitchell Allen Kurtz, Respondent General Securities Representative CRD No. 2437746 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Mitchell Allen Kurtz ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2009019378801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2437746

Other names1

Also known as1

Mitchell Kurtz

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