Finra bars former Securities America broker

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

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.

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