Sean Boswick, Formerly with Brock Securities, Barred from Securities Industry
NEW YORK, NY
Are you a former client of financial advisor Sean Boswick in New York, New York? The investment fraud and securities arbitration firm of Israels & Neuman is looking into allegations made against Sean Morgan Storm Boswick. According to FINRA’s Disciplinary Database, he was barred from the securities industry by FINRA when he failed to adequately respond to an investigation.
FINRA initiated its investigation after Boswick was fired by his former brokerage firm, Brock Securities, for “violation of company policy relating to Investment Advisory Activities” . When he refused to fully cooperate with FINRA’s investigation, he was barred from the industry pursuant to FINRA Rule 8210.
From December 2011 to May 2021, Sean Boswick was affiliated with Brock Securities in its New York City office. He had been in the securities industry since 1994.
As a FINRA member, Brock Securities has an obligation to adequately supervise its advisors like Sean Boswick. A failure to do so could result in responsibility for investor losses.
Israels & Neuman is an investment fraud and securities arbitration law firm that has represented over 1,000 investors in the past. We represent investors throughout the country, including in New York.
View Boswick, s FINRA AWC
View Boswick, s BrokerCheck 1.26.23