Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that Arizona-based Lifemark Securities Corporation broker Louis Horwin has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Horwin (CRD# 1845047).
Louis Horwin has spent 28 years in the securities industry and has been registered with Lifemark Securities Corporation in Scottsdale, Arizona since March 2016. Previous registrations include Legend Equities Corporation in Scottsdale, Arizona; First Financial Equity Corporation in Scottsdale, Arizona; Oppenheimer & Company in Scottsdale, Arizona; Piper Jaffray & Company in Minneapolis, Minnesota; and Smith Barney in New York, New York. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 7 (General Securities Representative Examination). He is a registered broker with two US states: California and Arizona.
According to his BrokerCheck report, Louis Horwin has received one pending customer complaint and resigned from a former employer.
In 2017 a customer alleged Louis Horwin, while employed at First Financial Equity Corporation, made unsuitable investment recommendations, misrepresented and omitted material facts, and acted negligently. The customer is seeking more than $242,200 in damages in the pending complaint.
In 2015, he was “permitted to resign” from his position at First Financial Equity Corporation “after an internal review was conducted regarding CD transactions in a client account.”
In 2010 a customer alleged Louis Horwin, while employed at Oppenheimer & Company, purchased unsuitably high risk and volatile stocks. The customer sought more than $69,900 in damages in the complaint, which was denied.
If you or someone you know has a complaint regarding Louis Horwin, 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.