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Barry Horowitz. Connecticut FA, Embroiled in Million-Dollar Investor Dispute

Barry Horowitz (CRD#:  2651525), a former broker and current Registered Investment Adviser (RIA) with Financial Resources Group LLC (CRD#: 293380) in Glastonbury, Connecticut, is currently involved in an investor dispute, according to his Investment Adviser Public Disclosure (IAPD) record accessed on July 27, 2020. The client is seeking more than $1 million in damages. What happened to lead to this investor dispute? Read on to learn more. 

Barry Horowitz

On June 23, 2020, a customer filed an investor complaint against Barry Horowitz. The customer is alleging that Barry Horowitz referred clients to an individual who was “a known fraudster,” according to his IAPD report. This “fraudster” solicited the customer to purchase a promissory note. The client is seeking more than $1 million in damages. 

This is not the only disclosure on Barry Horowitz’s IAPD record. On May 1, 2019, a customer alleged that Barry Horowitz referred clients to an individual who was “a known fraudster,” according to his IAPD report. This “fraudster” solicited the customer to purchase a promissory note. The client is sought more than $2,400,000 in damages. The dispute later settled for $1,200,000 in damages.

Barry Horowitz has passed the Series 65 – Uniform Investment Adviser Law Examination, the Series 63 – Uniform Securities Agent State Law Examination, the SIE – Securities Industry Essentials Examination, the Series 7 – General Securities Representative Examination, and the Series 6 – Investment Company Products/Variable Contracts Representative Examination. He is a Registered Investment Adviser (RIA) in Connecticut. 

Barry Horowitz has worked in the securities industry for nearly 24 years. Over his 24-year career in the securities industry, in addition to  Financial Resources Group LLC (CRD#: 293380) in Glastonbury, Connecticut, he has also worked for:

  • Lincoln Financial Securities Corporation (CRD#: 3870) — broker-dealer and investment adviser
  • Independent Advisers Group Corp. (CRD#: 106684) — investment adviser

If Barry Horowitz was your broker or investment adviser and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta to learn more about your options for investment loss recovery. Call (877) 238-4175 or email info@fkesq.com for your free case consultation with a securities attorney. 

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