Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 22, 2017 indicate that former Colorado-based Securities America broker/adviser Bruce Barber was recently terminated from a former employer. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Barber (CRD# 3095959).
Bruce Barber has spent eighteen years in the securities industry and was most recently registered with Securities America in Colorado Springs, Colorado (2000-2017). He was previously registered with Lincoln Investment Planning in Fort Washington, Pennsylvania (1998-2000). He is currently not registered with any state or firm.
According to his BrokerCheck report, he was recently terminated from a former employer in connection to alleged rule violations.
In February 2017 Bruce Barber was terminated from his position at Securities America following allegations he “solicited customers to purchase an unapproved securities product and participated in an unapproved outside business activity.”
FINRA rules state that investment representatives like Bruce Barber may not engage in outside business activities without providing written notice to their employer. FINRA Rule 3270 stipulates: “No registered person may be an employee, independent contractor, sole proprietor, officer, director or partner of another person, or be compensated, or have the reasonable expectation of compensation, from any other person as a result of any business activity outside the scope of the relationship with his or her member firm, unless he or she has provided prior written notice to the member, in such form as specified by the member.” Brokers who act in contravention of applicable rules may be subject to disciplinary activity.
If you or someone you know has a complaint regarding Bruce Barber, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.