Colorado Broker Bruce Page Barber Barred in Outside Business Activity Investigation

Attorney Advising Disclaimer

After Securities America discharged representative Bruce Page Barber of the firm's Colorado Springs branch based on allegations that he participated in an unapproved outside business activity and solicited customers to purchase an unapproved securities product, FINRA subsequently barred Barber from the securities industry.

AWC #2017053346301

FINRA's investigation states that Barber (CRD #3095959) failed to cooperate with their investigation into allegations that Barber engaged in an undisclosed outside business activity by serving as an advisor to the Board of Directors for a firm called "ABC, LLC," for which he received compensation.

The investigation also alleged that ABC Board advisor Barber solicited 15 Securities America customers to invest in ABC's private securities offering, which the firm similarly had not approved.

Barber's BrokerCheck report discloses just two outside business activities: 1) Insurance sales in Colorado Springs, and 2) Investment advisor at Securities America Advisors (also CO). Barber's insurance agency is known as Partners Group / Bruce P. Barber.

If you have invested with former Securities America broker Bruce Page Barber of Colorado Springs, or with any representative or financial adviser whose solicitations were unsuitable due to a conflict of interest or breach of fiduciary duty and these recommendations made in conflict with your best interests have proven harmful to your investments, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

Related Posts
  • After $13 Million in Penalties for 'Widespread Failure,' Oppenheimer Fined $500,000 for Supervisory and Suitability Gaps Read More
  • FINRA barred former Independent Financial Group (IFG) broker Brett Arthur Hartvigson of San Diego, California for refusing to cooperate with its investigation into allegations that were part of a complaint. In 2021, while associated with IFG, Brett Harvgi Read More
  • Stifel Nicolaus Failed to Detect Unsuitable Recommendations Despite Risk Policy, Says FINRA Read More