Herbert Voss May Have Executed Unauthorized Trades

Herbert vossPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 3, 2018 indicate that California-based StockCross Financial Services broker/adviser Herbert Voss has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Voss (CRD# 1014475).

Herbert Voss has spent 33 years in the securities industry and has been registered with StockCross Financial Services in Beverly Hills, California since 2009. Previous registrations include UBS Financial Services in Beverly Hills, California (1998-2009); Waterhouse Securities in Omaha, Nebraska (1997-1998); Kennedy Cabot & Company in Beverly Hills, California (1988-1998); Professional Brokerage Services (1987); Investors Center (1985-1986); J. Alexander Securities (1984-1985); Donald & Company Securities (1985); Kennedy Cabot & Company (1983-1984); and Prudential-Bache Securities (1982-1983) He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 30, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 18, 1986; Series 7 (General Securities Representative Examination), which he obtained on March 20, 1982; Series 24 (General Securities Principal Examination), which he obtained on October 31, 1991; and Series 4 (Registered Options Principal Examination), which he obtained on September 26, 1990. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Colorado, Illinois, Indiana, Maryland, Massachusetts, Nebraska, Nevada, New Mexico, Oregon, Pennsylvania, South Carolina, Texas, and Washington.

According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.

In December 2017 a customer attorney alleged Herbert Voss, while employed at StockCross Financial Services, breached his fiduciary duty, failed in his supervisory duties, and recommended investments that performed poorly. The customer is seeking $550,000 in damages in the pending complaint.

In 2017 a customer’s power of attorney alleged Herbert Voss, while employed at StockCross Financial Services, recommended unsuitable investments. The complaint settled for $900,000.

In 2010 a customer attorney alleged Herbert Voss, while employed at UBS Financial Services, breached his fiduciary duty, breached contract, negligently misrepresented material facts, committed fraud, omitted material facts, charged excessive commissions, executed unauthorized trades, and made unsuitable investment recommendations. The complaint settled in 2011 for $950,000.

In 1999 a customer attorney alleged he, while employed at Kennedy Cabot & Company, made unauthorized and excessive trades and mutual fund switches, and requested to share in the profits of a transaction. The complaint settled fro $64,000.

If you or someone you know has a complaint regarding Herbert Voss, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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