Barry Hartman, Eric Rolshoven, and FSC Securities Corp.
Have you lost money with financial advisor Barry Hartman and Eric Rolshoven of Missoula, Montana? We are investigating allegations made by the Montana Securities Commission against Eric Rolshoven and Barry Hartman, who were previously affiliated with FSC Securities Corp. According to the complaint filed against Rolshoven, Montana alleged that Rolshoven failed to adequately supervise the activities of Barry Hartman.
Montana alleged that Hartman sold a number of private securities (including investments in a company called Invizeon Corporation) to his customers. Montana alleged that Hartman did not have permission from his brokerage firm, FSC Securities Corp., to sell Invizeon Corporation to his customers. Rolshoven agreed to pay $15,000 to settle these claims.
Barry Hartman was a representative of FSC Securities Corp. from 2002 to March 2015. He worked at a branch office in Missoula, Montana. Hartman has been the subject of at least 19 customer complaints, many of which allege misrepresentations related to real estate, oil and gas, and equipment leasing investments, as well as Invizeon.
Eric Rolshoven was a representative of FSC Securities Corp. from 1994 to May 2014. He also worked in a branch office in Missoula, Montana. Rolshoven was terminated by FSC Securities Corp. for the activities related to Barry Hartman and Invizeon.
Brokerage firms like FSC Securities Corp. 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 area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Montana. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Rolshoven, Eric Montana Order
Click to view: Rolshoven, Eric BrokerCheck 7.31.17
Click to view: Hartman, Barry BrokerCheck 7.31.17
If you lost money with Barry M. Hartman, Eric Rolshoven, Invizeon, or FSC Securities Corp., 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.