Nathan Gersteen Katz Barred by FINRA

The Florida-based, Soreide Law Group, obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions—August 2021.”
On June 25, 2021, Nathan Gersteen Katz, formerly with American Independent Securities Group, LLC of Largo, Florida, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm.
An Acceptance, Waiver, and Consent (AWC) was issued in which Nathan Gersteen Katz was barred from association with any FINRA member in all capacities. Without admitting or denying FINRA’s findings, Katz consented to the sanction and to the entry of findings that he allegedly refused to produce information and documents requested by FINRA in connection with its investigation into his alleged recommendations of short-term switching of mutual funds, forgery of client signatures on switch letters, use of discretion without authorization, and failure to timely disclose certain judgments and liens.
(FINRA Case #2018057352601)
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Nathan Gersteen Katz was in the securities industry for 42 years and has 13 Disclosures on his FINRA CRD report. Of the 13 Disclosures, 5 are “Customer Disputes,” 3 are “Employment Separation After Allegations,” 4 are “Judgment/Lien,” and the “Regulatory,” barring Katz from the industry.
The significance of Katz’ 5 FINRA Customer Disputes is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only 2,751 (.41%) had been the subject of (3) or more customer complaints. In other words Nathan Gersteen Katz customer complaints rank him in the top one-hundredth percent of all registered representatives for customer complaints. 
Nathan Gersteen Katz had been registered with 7 firms, the most recent listed below:
0/16/2018 - 01/25/2021  AMERICAN INDEPENDENT SECURITIES GROUP, LLC - LARGO, FL
06/29/2001 - 08/20/2018 TRIAD ADVISORS LLC - LARGO, FL 
If you or a family member have experienced investment losses due to the actions or recommendations of Florida broker, Nathan Gersteen Katz, contact the Florida-based, Soreide Law Group, and speak to an experienced securities lawyer at no cost regarding the possible recovery of your financial losses through a FINRA arbitration at:  888-760-6552.
Soreide Law Group works on a contingency fee basis and represents clients nationwide before FINRA.