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James Katzaroff Terminated From SMI Capital Markets, Named In FINRA Investigation
by Fitapelli Kurta
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??Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that former Washington-based SMI Capital broker James Katzaroff was recently named in a FINRA investigation and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Katzaroff (CRD# 1032123).
James Katzaroff has spent eight years in the securities industry and was most recently registered with SMI Capital Markets in Bellevue, Washington (2017-2018). Previous registrations include National Securities Corporation (1988-1990); Painewebber (1987-1988); EF Hutton & Company (1985-1987); Smith Barney Harris Upham & Company (1983-1985); and Bateman Eichler Hill Richards (1982-1983). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 17, 2017; Series 22 (Direct Participation Programs Representative Examination), which he obtained on September 19, 2017; Series 82 (Limited Representative-Private Securities Offerings), which he obtained on September 14, 2017; Series 3 (National Commodity Futures Examination), which he obtained on August 7, 1986; and Series 7 (General Securities Representative Examination), which he obtained on February 20, 1982. He is currently not registered with any broker-dealer firm.
According to his BrokerCheck report, James Katzaroff has received one customer complaint, was recently named in a FINRA investigation into alleged rule violations, and was recently discharged from his former employer in connection to alleged rule violations.
In June 2018 he was named in a FINRA investigation into allegations he participated in outside business activities and failed to disclose an IRS tax lien. The investigation remains pending.
In June 2018 he was terminated from his position at SMI Capital Markets following allegations he failed to disclose an IRS tax lien.
In 1993 a customer alleged James Katzaroff, while employed at Painewebber, recommended unsuitable investments. The complaint resulted in an award to the customer of $85,000.
If you or someone you know has a complaint regarding James Katzaroff, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.
Posted in: Customer Complaint, Regulatory Investigation, Terminated
Tagged: James Katzaroff, SMI Capital
