The Florida-based Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website listed under, “Disciplinary and Other FINRA Actions, April 2016.”
Brian Lewis Pittman (CRD #2963196, Orlando, Florida)
was assessed a deferred fine of $10,000 and suspended for six months for allegedly participating in a private securities transaction without providing prior written notice of his participation or obtaining his member firm’s approval of his participation.
FINRA’s findings stated that Brian L. Pittman referred a client of an affiliated firm to invest $100,000 in a promissory note security offered by a petroleum company, and received compensation from the petroleum company of approximately $4,000.
Brian L. Pittman filled out an annual compliance questionnaire for his firm and falsely indicated that he had not participated in any private securities transactions.
The suspension is in effect from February 16, 2016, through August 15, 2016.
(FINRA Case #2016048480901)
Brian L. Pittman was in the securities industry for 13 years and was registered with the following firms:
10/2012 - 02/2014 SABADELL SECURITIES USA, INC. - MIAMI, FL
02/2010 - 10/2012 WESTPORT RESOURCES INVESTMENT SERVICES, INC.- NAPLES, FL
10/2007 - 02/2010 BONDS.COM, INC. - NAPLES, FL
08/2007 - 10/2007 JVB FINANCIAL GROUP, LLC - BOCA RATON, FL
07/2007 - 08/2007 PINNACLE BROKERAGE SERVICE, INC. - CHARLOTTE, NC
03/2006 - 07/2007 SUNTRUST INVESTMENT SERVICES, INC. - SARASOTA, FL
11/2003 - 02/2006 CITIGROUP GLOBAL MARKETS INC. - NEW YORK, NY
If you were a client of Brian L. Pittman, and experienced losses, call the Florida-based Soreide Law Group for a free consultation with an attorney on the possibility of recovering your losses at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA.
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