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Bruce Barber Has Been Sanctioned by FINRA

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Bruce Barber

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 11, 2017 indicate that former Colorado-based Securities America broker/adviser Bruce Barber has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Barber (CRD# 3095959).

Bruce Barber has spent 18 years in the securities industry and was most recently registered with Securities America in Colorado Springs, Colorado (2000-2017). He was previously registered with Lincoln Investment Planning in Fort Washington, Pennsylvania (1998-2000). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Bruce Barber has been sanctioned by FINRA and was terminated from his former employer.

In September 2017 FINRA sanctioned him following allegations he “refused to provide documents and information requested by FINRA in connection with FINRA’s investigation concerning [his] outside business activity and solicitation of his member firm’s customers to invest in a private securities offering.” He was indefinitely barred from acting as a broker or otherwise associating with firms that sell securities to the public.

In February 2017, he was discharged from his position at Securities America following allegations he “solicited customers to purchase an unapproved securities product and participated in an unapproved outside business activity.”

If you or someone you know has a complaint regarding Bruce Barber, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.