Finra bars former Securities America broker

Bruce Barber failed to provide information about selling unapproved securities.
SEP 07, 2017
By  Bloomberg

The Financial Industry Regulatory Authority Inc. has barred former Securities America broker Bruce Barber for failing to provide information about soliciting customers to invest in private securities. In February, Securities America terminated Mr. Barber, who worked in Colorado Springs, Colo., for "soliciting customers to purchase an unapproved securities product and participating in an unapproved outside business activity." Mr. Barber began his securities career in 1998 at Lincoln Investment Planning and moved to Securities America in 2000.

Latest News

The evolution of private credit
The evolution of private credit

From direct lending to asset-based finance to commercial real estate debt.

AI-powered gains for Microsoft, Meta boost futures following late-day rally
AI-powered gains for Microsoft, Meta boost futures following late-day rally

Wall Street ends mostly higher despite slowing economy

Trump says deals won't be rushed despite political risk of tariffs
Trump says deals won't be rushed despite political risk of tariffs

The president says 'we have to save the country.'

Is homeownership still a realistic element of the American Dream?
Is homeownership still a realistic element of the American Dream?

Gen Zs consider tapping 401(k)s to get on the housing ladder

Tesla chair responds to Musk replacement report
Tesla chair responds to Musk replacement report

A media report claims that the billionaire CEO's job is at risk.

SPONSORED The evolution of private credit

From direct lending to asset-based finance to commercial real estate debt.

SPONSORED Compliance in real time: Technology's expanding role in RIA oversight

RIAs face rising regulatory pressure in 2025. Forward-looking firms are responding with embedded technology, not more paperwork.