Janet Horowitz Received a Complaint for Executing Excessive Trades

Janet HorowitzPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2017 indicate that Arizona-based Wells Fargo Advisors Financial Network broker/adviser Janet Horowitz has been the subject of customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Horowitz (CRD# 1398082).

Janet Horowitz has spent 31 years in the securities industry and has been registered with Wells Fargo Advisors Financial Network in Phoenix, Arizona since 2009. Previous registrations include Wells Fargo Advisors in Tempe, Arizona; AG Edwards & Sons in Tempe, Arizona; RBC Dain Rauscher in New York, New York; Sutro & Company in San Francisco, California; Prudential Securities in New York, New York; and Dean Witter Reynolds. She has passed seven securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 3 (National Commodity Futures Examination); Series 65 (Uniform Investment Adviser Law Examination); Series 7 (General Securities Representative Examination); Series 10 (General Securities Sales Supervisor – General Module Examination); and Series 9 (General Securities Sales Supervisor – Options Module Examination). She is a registered broker and investment adviser with 19 US states and territories.

According to her BrokerCheck report, she has received two customer complaints.

In 2016 a customer alleged Janet Horwitz, while employed at Wells Fargo, executed excessive trades, made unsuitable investment recommendations, and negligently mismanaged the account. The complaint settled in April 2017 for $40,000.

In 2001 a customer alleged Janet Horowitz, while employed at Sutro & Company, made unsuitable recommendations and executed excessive trades. The complaint settled for $150,000.

If you or someone you know has lost money investing with Janet Horowitz, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.