Broker Barry G. Hartman of FSC Securities Allegedly Sold Away from his Member Firm
Have you suffered losses investing with Barry G. Hartman? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim against the brokerage firm that sold you the investments.
As we told you in November 2015, Barry G. Hartman, former advisor with FSC Securities, was permanently barred from the securities industry.
According to FINRA Case # 2015044671601, in August 2015, Hartman was barred from the securities industry to resolve allegations that he participated in private securities transactions by personally investing $450,000 in undisclosed outside businesses. He also allegedly recommended that customers of his member firm also invest in those outside businesses without complying with firm procedures.
Hartman’s FINRA Broker Report states he was registered with FSC Securities in Missoula, Montana from 02/2002 – 03/2015 when he was discharged for failure to follow firm policies. Hartman’s FINRA Broker Report also shows that he has been the subject of approximately 19 customer complaints. Allegations include violations of common law fraud, misrepresentation, and unsuitability.
Failure to Supervise
Brokerage firms are required to adequately supervise their advisors. They must ensure they are complying with FINRA rules.
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses.
The brokerage firms can be held responsible for any losses in a FINRA arbitration claim if it is determined that they failed to properly supervise their agent.
If you suffered losses investing with Barry G. Hartman, the attorneys at The White Law Group may be able to help you. For a free consultation, please call (888) 637-5510.
The foregoing information, which is all publicly available, is being provided by The White Law Group.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For more information, please visit our website, www.whitesecuritieslaw.com.
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