Broker Investigation: Brian Hussey

Brian Hussey (CRD#: 4640067) is a registered as a securities broker. At the current time, Mr. Hussey is employed at Ameriprise Financial Services, Inc., based in Tampa, Florida. He has been a representative of this brokerage firm since 2008.

There are four disclosures on Mr. Hussey’s Brokercheck report. Most notable, Mr. Hussey was suspended from the industry. In this article, our securities fraud lawyers provide a brief overview of these FINRA disclosures. For full details, please refer to FINRA’s records.

FINRA Disclosures: Brian Hussey

On May 23rd, 2018, the Financial Industry Regulatory Authority (FINRA) barred Brian Hussey from the securities industry for a period of seven months (Disciplinary Proceeding No. 2017053342601).

According to investigators, Mr. Hussey recommended that one of his customers put 100 percent of her funds into two risky penny stocks, despite the fact that the investor marked her objectives as ‘moderately aggressive’. This strategy was wholly unsuitable for this type of investor. As a result of the extremely aggressive investment strategy, the investor sustained more than $60,000 in financial losses. She was compensated through Ameriprise.

Without admitting to or denying wrongdoing, Mr. Hussey consented to FINRA’s penalties, including the seven-month suspension from the securities industry.

Contact an Investor Losses Attorney Now

At Sonn Law Group, our investment fraud lawyers have experience serving investors nationwide. Do believe that you were the victim of investment fraud or broker misconduct? Do not wait to act: contact our law firm today for a free review of your claim.

Disclaimer: This article contains opinions and NOT statements of fact in any way whatsoever. The information here is general information that should not be taken as legal advice. NO attorney-client relationship is established between you and our attorneys by reading this article. This article is attorney advertising and should not be used as a substitute for legal advice from a qualified securities lawyer.