Sean Storm Boswick Investigation
June 2023-New York, NY
The FINRA records of Sean “Storm” Boswick, a former stock broker who was last employed in the industry by Brock Securities , disclose a final regulatory matter that resulted in his being barred from FINRA and termination from employment.
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 1/2023, Boswick consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with an investigation into the circumstances giving rise to his termination from his member firm. The findings stated that Boswick’s firm submitted a From U5 diclosing that he was discharged and was under internal investigation for violation of FINRA rule 3280. (violation of Company Policy relating to Investment Advisory Activities of Associated Persons). In response, FINRA sent a request to Boswick for production of documents and information, including a request that he produce his personal bank account information and statements. Although Boswick provided a partial response to FINRA’s request, he did not produce his bank account information and statements at any time. As a result of this investigation, Boswick was permanently barred from FINRA in all capacities.
In 4/2021, Boswick was discharged from Brock Securities in response to an investigation for violation of Company Policy relating to Investment Advisory Activities of Associated Persons – FINRA Rule 3280. He had been with Brock Securities since 12/2011.
If you have losses in an account handled by Sean Storm Boswick call to learn how you may be entitled to collect damages through FINRA arbitration.
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.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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