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The Securities Arbitration Law Firm of KlaymanToskes announced today that it is investigating potential claims against FINRA broker-dealer FSC Securities relating to Barry George Hartman (“Hartman”) and Rocky Mountain Financial, LLC. According to Hartman’s BrokerCheck, available on FINRA’s website, as recently as 2010, Hartman was the subject of a customer complaint involving the sale of direct investments, including Real Estate Investment Trusts (“REITs”). The claimant alleged that he was unsophisticated and that the illiquid REITs in which he was invested were “too high risk.” Accordingly, KlaymanToskes is investigating the sales of direct investments, including REITs by Hartman to his customers.
If you have information relating to this investigation or invested in direct investments through Hartman, please contact KlaymanToskes, toll free, at 888-997-9956.