Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Brian Carroll Beh [CRD: 1500962, Richmond, Virginia]. Beh has worked for Frontier Solutions LLC since July 21, 2021, and worked for MMX Global Partners LLC from November 1, 2018, to December 18, 2020. Recently, FINRA took action against Beh for allegedly engaging in undisclosed outside business activities and using misleading marketing materials, leading to his suspension and fine. Keep reading to learn more about the allegations and their resolution.
On July 22, 2024, FINRA sanctioned Brian Beh for engaging in undisclosed outside business activities. Between July 2021 and December 2021, while associated with Frontier Solutions LLC, Beh provided advisory and consulting services to a start-up company without informing Frontier Solutions LLC. He allegedly arranged visits for potential investors, distributed marketing materials, and recommended candidates for the company’s board. Beh apparently received $111,937 in compensation and shares of restricted stock in exchange for his services. As a result, FINRA said that Beh violated FINRA Rules 3270 and 2010.
In addition to these activities, FINRA alleged that Beh, while employed with MMX Global Partners LLC, engaged in misleading communications with investors. The regulator alleged that Beh sent emails containing exaggerated claims and misleading statements regarding fund performance and investment opportunities in a start-up and venture capital firm. Also, his emails allegedly lacked the necessary disclosures for evaluating performance forecasts, violating FINRA Rule 2010. As a result of these violations, Beh was fined $7,500 and suspended for two months from being a securities broker or holding other securities positions with FINRA-member firms.
Contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney for more information. Beh and the firms he worked for deny any allegations of sales practice violations. Soreide Law Group has experience representing investors throughout the country and handles cases on a contingency basis.
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