July 2021- Vista, CA
According to publicly available records of Kevin David Barton (CRD#2542056) , a broker employed with Crown Capital Securities, discloses a regulatory event and 11 tax liens.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In April of 2021 after FINRA case #2018059856601 was filed, without admitting or denying the findings, Barton consented to the sanctions and to the entry of findings that, while employed by Crown Capital Securities, he engaged in an outside business activity without providing prior written notice to his member firm. Findings stated that Barton signed an employment agreement with a California corporation, and was its sole employee. Barton was paid $60,000 per year. Findings also stated that Barton exercised discretion without prior written authorization in fee-based accounts maintained by customers, including seniors. Sanctions were a four month suspension and a $17, 500 fine to be paid by Barton personally.
From June of 2015 to January of 2018, 11 state and federal tax liens were filed against Barton totaling of $435,034.
Barton has been employed by Crown Capital Securities, since December of 2000.
If you had an account with Kevin Barton that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
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