Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 28, 2016 indicate that Virginia-based E1 Asset Management broker Brian Harte has received customer complaints and a regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harte (CRD# 4780629).
Brian Harte has spent twelve years in the securities industry and has been registered with E1 Asset Management in Alexandria, Virginia since 2004. He has no previous registrations. He is a registered broker with 16 US states and territories: California, Connecticut, the District of Columbia, Florida, Georgia, Maine, Maryland, Missouri, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Texas, the Virgin Islands, and Virginia.
According to his BrokerCheck report, Brian Harte has received two customer complaints and one regulatory sanction.
In May 2015 FINRA sanctioned Brian Harte following allegations he failed to timely amend his Form U4 to report a lien. He was issued a 10-day suspension and a fine of $2,500.
In 2009 a customer alleged Brian Harte, while employed at E1 Asset Management, executed an unauthorized stock purchase in three accounts. The complaint settled for a cancellation of the trades.
In 2009 a customer alleged Brian Harte, while employed at E1 Asset Management, recommended investments that performed poorly and executed unauthorized trades. The complaint settled for $20,500.
If you or someone you know has lost money investing with Brian Harte, call the securities and investment fraud law firm 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.