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.
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