Soreide Law Group is investigating possible investor claims against securities broker Sean Morgan Storm Boswick (CRD: 2491980, New York, New York). Notably, FINRA barred the securities broker, who worked for Brock Securities LLC. Supposedly, Boswick failed to provide information and documents to FINRA when it investigated him. Here is a brief summary of FINRA’s allegations against Boswick.
Notably, FINRA issued Acceptance, Waiver, and Consent No. 2021071319701 on January 26, 2023, sanctioning Sean Boswick for infractions. Supposedly, Boswick failed to provide information and documents to FINRA. Evidently, the regulator investigated if Boswick engaged in private securities transactions. Therefore, Boswick was barred as a securities broker.
Boswick worked for Brock Securities LLC in New York, New York, as a securities broker from December 22, 2011, to May 7, 2021. Brock Securities submitted a Uniform Termination Notice of Securities Industry Registration (Form U5) on May 7, 2021. The form disclosed that the firm discharged Boswick on April 9, 2021, following an internal investigation.
Suffer damages by investing with Sean Boswick? If so, contact Soreide Law Group at (888) 760-6552 and talk with a securities lawyer about a possible recovery of your losses. Soreide Law Group has recovered money for investors throughout the United States. Also, the firm represents clients on a contingency fee basis and advances all costs. Boswick and brokerage firms Boswick worked for deny accusations of misconduct.
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