Brian Joseph Harte (Brian Harte) – Financial Advisor/Broker Brian Harte Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses

Brian Joseph Harte (Brian Harte) CRD #4780629

Brian Harte is a licensed financial advisor/broker with E1 Asset Management, Inc. According to FINRA, Brian Harte will be suspended from the securities industry for 10 days in June 2020.

According to FINRA Allegations:

Brian Harte consented to the sanction and to the entry of findings that Brian Harte effected discretionary trades in accounts maintained by customers without their written authorization. The findings stated that although the customers knew that Brian Harte was exercising discretion in their accounts, Brian Harte did not have authorization to do so from any of the customers. In addition, Brian Harte never requested or obtained approval from Brian Harte’s member firm to conduct discretion in the accounts. The firm prohibited representatives from exercising discretion in customer accounts.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with Brian Harte and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Brian Harte’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Brian Harte and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

Some of the information in this blog post was obtained on 5/6/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

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