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Brian Napier Named in Dispute Alleging Failure to Supervise

Nov 22, 2022 Failure to Supervise

Brian Napier (CRD #: 4555202), a broker registered with Ausdal Financial Partners, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on November 7, 2022. Read on to learn more about his conduct as a broker.

Investor Dispute

On September 2, 2022, an investor named Brian Napier in a dispute alleging failure to supervise. The client seeks $435,000 in this pending dispute.

FINRA Rule 3110

Failure to supervise violates FINRA Rule 3110, which requires that firms establish supervisory systems to ensure their compliance with securities regulations. Firms must ensure that supervisory personnel have the appropriate training or experience necessary for their position.

Background Information

Brian Napier has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 26 – Investment Company Products/Variable Contracts Principal Examination

Brian Napier is a registered broker in seven states and a registered investment adviser in Indiana.

He has also worked for the following firms:

  • IMBB Investment Advisors (CRD#:122301)
  • Indiana Merchant Banking and Brokerage Company (CRD#:16315)
  • PNC Investments (CRD#:129052)
  • NatCity Investments (CRD#:17490)
  • American Express Financial Advisors (CRD#:6363)
  • IDS Life Insurance Company (CRD#:6321)

Kurta Law Can Help

If you worked with Brian Napier and you have concerns about your investments, please contact us today at 877-600-0098 or 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.