Securities Lawyers Blog
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Bryan Clark (Clark), formerly associated with Madison Avenue Securities, LLC (Madison Securities), was accused of selling securities without informing his brokerage firm. According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Clark has three customer complaints, one bankruptcy disclosure, and one regulatory action. If you have been a victim of Clark’s alleged misconduct our firm may be able to assist you in recovering funds.
In August 2019 FINRA brought a regulatory action against Clark alleging that Clark consented to the sanction and to the entry of findings that he refused to appear and provide on-the-record testimony during the course of FINRA’s investigation into whether he willfully failed to disclose a bankruptcy, failed to disclose outside business activities and participated in private securities transactions.
At this time it is unclear what business activities and the private securities transactions refer to. Clark’s disclosures list several business activities including Preservation Capital Group, LLC and Value Health + Life Insurance Serves.