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Former Raymond James Broker Michael Hurtgen Consents to FINRA Fine and Suspension

Michael Hurtgen (Michael Murphy Hurtgen) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating possible claims against stockbroker Michael Hurtgen.

In March 2018 Michael Hurtgen was fined $5,000 and suspended for 2 months from practicing as a broker. Michael Hurtgen worked for Raymond James Financial Services in Greenwood Village, Colorado from June 2009 to March 2016.

Michael Hurtgen was previously associated with RBC Capital Markets and he currently worked for Girard Securities, Inc. in Greenwood, Colorado.

FINRA alleges that Michael Hurtgen engaged in the following misconduct: solicited Raymond James customers to invest in a private placement offering and distributed offering materials to customers that did not comply with FINRA’s content standards for communications with the public.

The private placement offering was an outside business activity, Plan Your Affairs, LLC (now known as Plan My Affairs, LLC), which involved a web-based application that assists users with personal organization and succession planning. Hurtgen was fired by Raymond James in February 2016 when the misconduct was discovered.

If you invested money through Michael Hurtgen, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.

Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.

Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.

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