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State of New Hampshire Investigates Brian Belliveau

Brian Belliveau (CRD #: 7140657), a broker registered with Northwestern Mutual Investment Services, is under investigation by the State of New Hampshire, according to his BrokerCheck record, accessed on December 7, 2022. Keep reading to learn more about Brian Belliveau’s alleged conduct as a broker.

Pending Investigation

On September 16, 2022, the New Hampshire Insurance Department announced an investigation into Brian Belliveau, alleging that he committed the following:

  • Sent marketing emails to prospective clients misrepresenting his experience and client base
  • Used an unapproved form to obtain client data to apply for non-variable life insurance policies
  • Requested that two non-licensed individuals make calls to prospective clients on his behalf

This investigation is ongoing.

FINRA Rule 2020

The misrepresentation of information related to investments violates FINRA Rule 2020, which prohibits the use of manipulative, deceptive, and otherwise fraudulent tactics to influence investors’ decisions.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Brian Belliveau has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 7TO – General Securities Representative Examination
  • Series 6TO – Investment Company Products/Variable Contracts Representative Examination
  • SIE – Securities Industry Essentials Examination

Brian Belliveau is a registered broker in seven states.

Kurta Law Can Help

If you worked with Brian Belliveau and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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. 

 

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