Goodman & Nekvasil P.A, May Recover Investor Losses | Barry Hartman – Financial Advisor Barry Hartman Barred from Securities Industry
Barry Hartman CRD #1361232
From 2002 until 2015, Barry Hartman was formerly licensed with FSC Securities Corporation. According to FINRA’s records, Barry Hartman was fired by FSC Securities Corporation on March 5, 2015. FSC Securities Corporation reported to FINRA that Barry Hartman was fired after being accused of violating firm policies, including Barry Hartman’s participation in an undisclosed outside business activity and an undisclosed private transaction.
Subsequent to Barry Hartman’s firing, FINRA brought a disciplinary action against Barry Hartman in 2015. Barry Hartman consented to a bar from the securities industry. Barry Hartman consented to the entry of findings that Barry Hartman served on the board of directors of an unaffiliated privately held company without providing written notice to the firm in the form required by the firm. The findings stated that Hartman also participated in private securities transactions by personally investing approximately $450,000 in an undisclosed outside business and by recommending that some of the firm’s customers invest and referring them directly to complete their investments in the outside business. Barry Hartman failed to provide written notice of these private securities transactions.
FINRA also reports that fourteen different customer disputes were filed against Barry Hartman alleging a number of different sales practice violations involving investments in, but not limited to, real estate securities, equipment leasing, annuity-variables, mutual funds, common & preferred stocks, and oil & gas investments involving the Invizeon Corporation. The complaints were settled for as high as $135,000.
If you lost any money on investments with Barry Hartman, including investments in Invizeon Corporation, you may be able to recover your losses from FSC Securities Corporation. This is because FSC Securities Corporation had a duty to supervise Barry Hartman.
If you lost money on investments with Barry Hartman, including investments in Invizeon Corporation, and believe that 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 against FSC Securities Corporation, concerning Barry Hartman’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 $170 million on behalf of victimized investors. If you lost money on any investments with Barry Hartman, including investments in Invizeon Corporation, 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.
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