Brian Marston Facing a $1.7 Million Investor Dispute
Brian Marston (CRD #: 733083), a broker registered with Woodbury Financial Services, is involved in an investor dispute alleging $1.7 million in losses, according to his BrokerCheck record, accessed on September 29, 2021. He also offers advisory services through Life Certain Wealth Strategies. Keep reading if you have concerns about his conduct as a broker.
On July 8, 2021, investors alleged that Brian Marston concentrated their accounts in unsuitable alternative investments. Alternative investments are always high-risk and are not suitable for most investors. Suitable investments should always fit the investor’s risk tolerance. The investor is seeking $1,737,306; the dispute is pending.
On May 4, 2021, an investor alleged that Brian Marston misrepresented alternative investments. FINRA Rule 2020 prohibits the use of manipulative, deceptive, or other fraudulent devices to convince an investor to purchase a security.
Older Investor Disputes
On February 7, 2014, an investor alleged that Brian Marston misrepresented guarantees offered under an AutoGuard 5 Rider. This dispute was denied by the firm. Investors should know that they can still recover their losses following a denial – “denials” simply mean that the firm denied their representative engaged in misconduct.
Brian Marston Background Information
Brian Marston has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products/ Variable Contracts Representative Examination
- Series 26 Investment Company Products/ Variable Contracts Principal Examination
He is a registered broker in 22 states and is a registered investment adviser in Colorado.
Brian Marston has worked with the following firms:
- Woodbury Financial Services (CRD #: 421)
- RMIN Securities (CRD #: 47274)
- Next Financial Group (CRD #: 46214)
- National Planning Corporation (CRD #: 29604)
- Pruco Securities Corporation (CRD #: 5685)
- The Prudential Insurance Company of America (CRD #: 680)
Kurta Law Can Help
If you worked with Brian Marston and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email firstname.lastname@example.org.