Have you lost money as a result of your dealings with broker Barry G. Hartman? If so, the White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA).
According to Hartman’s BrokerCheck report, FINRA barred Hartman from the securities industry surrounding allegations that he participated in private securities transactions by investing in an undisclosed outside business and allegedly recommending that his clients should also invest. According to FINRA’s findings, Hartman allegedly violated his member firm’s policy by failing to failing to provide written notice of his outside business activities
Hartman was registered with the brokerage firm FSC from 2002 until March 2015, when the broker was terminated. He was with Raymond James Financial Services in St. Petersburg florida from October 2000 until February 2002.
According to reports, during this time Hartman conducted his securities business through Rocky Mountain Financial, LLC. Some reports suggest Hartman solicited investors in high risk products like non-traded REITs and private placement investments and in software companies such as Invizeon Corporation.
The White Law Group is investigating what liability that Hartman’s employer may have for his actions. When a FINRA registered representative conducts business outside the scope of the brokerage firm where they are registered, the act can be considered “selling away.” If a registered broker “sells away” from their firm, the brokerage firm may still be liable for negligent supervision of their broker representative and may be responsible for investment losses in a FINRA dispute resolution claim.
If you suffered losses investing with Barry G. Hartman and would like to discuss your potential to recover your losses through a FINRA arbitration claim, please call the securities attorney of The White Law Group at (312) 238-9650 for a free consultation.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to the representation of investors in FINRA arbitration claims against brokerage firms throughout the United States. Our offices are located in Chicago, Illinois and Vero Beach, Florida.
To learn more about The White Law Group, visit www.WhiteSecuritesLaw.com.