Bruce Barber, formerly of Securities America, Inc., Barred from Securities Industry
Have you lost money with financial advisor Bruce Barber of Colorado Springs, Colorado? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Bruce P. Barber. FINRA barred Barber from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating him after he was terminated by his former brokerage firm, Securities America, Inc., for selling unapproved investments in a company in which he sat on the board of directors.
Bruce Barber was a financial advisor and registered representative of Securities America, Inc. from 2000 to February 2017. He worked at a branch office in Colorado Springs, Colorado. Barber was also affiliated with Legacy Wealth Management in Colorado Springs, Colorado.
Brokerage firms like Securities America, Inc. have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle, Washington area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Colorado and throughout Denver and Colorado Springs. Attorney Aaron Israels is licensed to practice law in Colorado and can meet clients in-person throughout Colorado. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Securities America, Inc.
Click to view: Barber, Bruce FINRA AWC
Click to view: Barber, Bruce BrokerCheck 9.7.17
If you lost money with Bruce Barber or Securities America, Inc., please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.