Broker Investigation: Herbert Voss, Jr.

Herbert Voss, Jr. (CRD#: 1014475) is a previously registered broker and investment advisor. Most recently, Mr. Voss, Jr. was employed at StockCross Financial Services in Beverly Hills, CA (2009-2018).

On May 23rd, 2018, FINRA barred Herbert Voss, Jr. from the securities industry. According to FINRA, this broker knowingly failed to cooperate with a regulatory investigation into allegations that he engaged in significant misconduct. Here, our investor losses lawyers review the allegations against Herbert Voss, Jr.

FINRA Sanctions: Herbert Voss, Jr.

In May of 2018, Herbert Voss Jr. was terminated from his position at StockCross Financial Services. This occurred because Mr. Voss Jr. had been barred by FINRA. In April of 2018, FINRA requested on-the-record testimony from this broker. Under FINRA Rule 8210, all registered brokers have a duty to cooperate with regulatory investigations into possible misconduct. This includes providing both testimony and financial documents when requested by the agency.

In this case, FINRA was investigating allegations that Mr. Voss Jr. made unauthorized transactions on a customer’s account while he was employed at StockCross Financial Services. By failing to cooperate with FINRA’s inquiry, Mr. Voss Jr. violated industry rules. Without admitting or denying wrongdoing, this broker consented to an indefinite bar from the securities industry.

Get Help From an Investment Fraud Lawyer

At Sonn Law Group, our financial fraud attorneys are committed advocates for investors. If you sustained losses due to broker fraud or negligence, our legal team can help. Contact us today for a free initial consultation.

Disclaimer: This article contains opinions and NOT statements of fact in any way whatsoever. The information here is general information that should not be taken as legal advice. NO attorney-client relationship is established between you and our attorneys by reading this article. This article is attorney advertising and should not be used as a substitute for legal advice from a qualified securities lawyer.

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