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.

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