According to a recent FINRA report, Barry George Hartman was recently terminated by his brokerage firm, FSC Securities, for allegedly participating in an undisclosed outside business activity and participating in an undisclosed private securities transaction.
Upon information and belief, Barry Hartman was stockbroker registered with FSC Securities and did business with Rocky Mountain Financial, LLC in or around Missoula, Montana. Barry Hartman was previously investigated by various securities lawyers for allegations of unsuitable recommendations of non-traded REITs and AIG stock. Barry Goldman is currently subject to several customer disputes for allegedly recommending unsuitable investments.
Stockbrokers like Barry Hartman have a regulatory duty to recommend investments that are suitable for their customers. Brokerage firms like the one Barry Hartman was registered with have a regulatory duty to strictly supervise stockbrokers. This is to ensure brokers follow FINRA rules and only sell securities approved by the firm. In cases where a stockbroker sells securities not-approved by the firm, the brokerage firm itself may be held liable for “selling away” if investors suffer losses in unapproved investments. As a result, investors who lost money with Barry Hartman may be able to recover their investment losses through FINRA arbitration.
If you are an investor that has suffered losses investing with Barry Hartman you may be able to recover your losses through FINRA arbitration or securities litigation. Please call Kons Law Firm at (860) 920-5181 for a FREE, NO OBLIGATION consultation to discuss your investment loss recovery options.
Kons Law Firm represents investors nationwide in securities arbitration and litigation matters. To learn more about the Firm’s securities litigation and FINRA arbitration practice, please visit www.investmentfraudattorneys.com.
