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Brian Bova Permitted to Resign by Cabot Lodge Securities

Brian Bova (CRD #: 4445536) has been permitted to resign by Cabot Lodge Securities. This is according to his BrokerCheck record, accessed on February 13, 2024. Keep reading if you would like more information concerning his resignation. 

Alleged Outside Business and Regulation D Offering

On December 8, 2023, Brian Bova was permitted to resign by Cabot Lodge Securities. Brian Bova allegedly engaged in activities as a general partner of a Regulation D offering without obtaining permission from the firm. He allegedly did this through a separate entity over which he had control. 

FINRA Rule 3270 – Outside Business and Selling Away

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.

Background Information 

Brian Bova has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination
  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 99TO Operations Professional Examination 
  • Series 79TO Investment Banking Registered Representative Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

Brian Bova has registered with the following firms:

  • Cabot Lodge Securities (CRD #: 159712) 
  • Purshe Kaplan Sterling Investments (CRD #: 35747) 
  • UBS Financial Services (CRD #: 8174)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 

Kurta Law Can Help 

If you have worked with Brian Bova and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.