Brian Beh Subject of a FINRA Suspension Following Allegations of Misleading Statements

Brian Beh (CRD #: 1500962), a previously registered broker with Frontier Solutions, has been suspended by FINRA. This is according to his BrokerCheck record, accessed on August 26, 2024. Keep reading if you have questions regarding his alleged conduct. 

Regulatory Action 

On July 22, 2024, Brian Beh entered into into an Acceptance, Waiver, and Consent agreement (AWC) in which he consented to the findings that he engaged in an undisclosed outside business activity and provided consulting services to a start-up company. 

The findings stated that he performed the following duties: 

• Recommended potential board candidates to the company 
• Distributed marketing materials to potential investors 
• Organized visits to the company by investors and business partners 

Brian Beh allegedly received $111,947 and shares of restricted company stock as compensation for his services. He allegedly never provided the firm with prior written notice of his outside business to his firm.

Allegedly Misleading Statements to Customers 

The AWC further alleges that Brian Beh sent marketing materials to potential investors that contained misleading statements about the performance of previous funds and statements about fund performance that were misleading in promissory. 

• He allegedly made unwarranted claims that other investors had committed to the fund and that companies in the fund had increased in value. 
• He also failed to provide a sound basis for evaluating certain forecasts concerning performance. 
• The materials allegedly did not provide a fair and balanced discussion of the offerings’ risks. 

Outside Business

Brian Beh disclosed one outside business that appears on his detailed BrokerCheck record: Beh Investment Group. 

Terms of the AWC 

As part of the terms of the AWC, Brian Beh consented to a $7,500 fine and a two-month suspension. You can read a copy of the AWC here. 

Background Information 

Brian Beh has passed the following exams:

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 3 National Commodity Futures Examination 

During his nine years of experience, he has registered with five firms: 

• Frontier Solutions (CRD #: 136102) 
• MMX Global Partners (CRD #: 286531) 
• Everen Securities (CRD #: 19616) 
• Underwood, Neuhaus & Co. (CRD #: 839) 
• Blunt Ellis & Loewi Incorporated (CRD #: 7580) 

Kurta Law Can Help 

If you worked with Brian Beh and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.