Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 19, 2017 indicate that former California-based Montage Securities broker/adviser Harold Couglar has been named in a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Couglar (CRD# 1193367).
Harold Couglar has spent 31 years in the securities industry and was most recently registered with Montage Securities in San Diego, California (2012-2017). Previous registrations include CBIZ Financial Solutions in Cleveland, Ohio (2005-2012) and Linsco/Private Ledger Corporation in Boston, Massachusetts (1983-2003). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 6, 1985; Series 7 (General Securities Representative Examination), which he obtained on October 15, 1983; and Series 24 (General Securities Principal Examination), which he obtained on January 14, 1992. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has been named in a pending FINRA investigation.
In November 2017 FINRA issued a Wells Notice stating it had made a preliminary determination to recommend bringing a disciplinary action against Harold Couglar in connection to allegations he violated NASD and FINRA rules by failing to notify his member firm of certain accounts over which he was exercising discretionary authority from March 2012 until December 2016. FINRA also alleged that he failed to notify “the executing members of his association with his member firm,” provided false information to his member firm on compliance questionnaires, and failed to notify his member firm that he was participating in an outside business activity. The investigation remains pending.
If you or someone you know has complaints regarding Harold Couglar, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.