Florida-based Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA's website under “Disciplinary and Other FINRA Actions, February, 2015.”
Brian Lewis Pittman (CRD #2963196, Naples, Florida)
was assessed a deferred fine of $7,500 and suspended by FINRA for four months for allegedly participating in private securities transactions, specifically the sale of oil and gas limited partnership interests that were not approved for sale by his member firm. Pittman did not provide prior written notice of his participation or obtained his firm’s approval of his participation in the transactions.
FINRA's findings stated that Pittman referred his firm’s clients to invest in the private securities and received approximately $45,000 in compensation, but returned the compensation after his firm instructed him to do so.
The suspension is in effect from December 15, 2014, through April 14, 2015.
(FINRA Case #2012034304002)
Brian Pittman was registered in the securities industry for 13 years and was previously registered with the following securities firms:
10/2012 - 02/2014 SABADELL SECURITIES USA, INC. (CRD# 148137) - MIAMI, FL
02/2010 - 10/2012 WESTPORT RESOURCES INVESTMENT SERVICES, INC. (CRD# 24535) - NAPLES, FL
10/2007 - 02/2010 BONDS.COM, INC. (CRD# 43875) - NAPLES, FL
08/2007 - 10/2007 JVB FINANCIAL GROUP, LLC (CRD# 104412) - BOCA RATON, FL
07/2007 - 08/2007 PINNACLE BROKERAGE SERVICE, INC. (CRD# 107803) - CHARLOTTE, NC
03/2006 - 07/2007 SUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499) - SARASOTA, FL
11/2003 - 02/2006 CITIGROUP GLOBAL MARKETS INC. (CRD# 7059) - NEW YORK, NY
12/1997 - 11/2001 ROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158) - MILWAUKEE, WI
The information obtained from FINRA's website ends here.
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