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BRIAN JOHN BOGART BrokerCheck .pdf


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3/29/2018

BRIAN JOHN BOGART - BrokerCheck

BRIAN JOHN BOGART
CRD#: 1186538
B

Broker Regulated by FINRA

IA

Investment Adviser   Visit SEC

PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747
2010 Corporate Ridge Suite 580
McLean, VA 22102






16 Disclosures 

Disclosures

of
33 Years
Experience
6 Firms






3

Exams
Passed






14 State
Licenses




View By: Date

11/21/2016

Customer Dispute

Pending

Allegations

Claimant alleged, inter alia, unsuitability with respect to
investments in managed accounts - 2015 to 2016.

Damage Amount Requested

$25,711.11





 Arbitration Details
 Disciplinary Action Details

3/27/2003

Regulatory

Initiated By
https://brokercheck.finra.org/individual/summary/1186538

Final



STATE OF MARYLAND OFFICE OF THE ATTORNEY
1/14

3/29/2018

BRIAN JOHN BOGART - BrokerCheck

GENERAL

Allegations

THE MARYLAND DIVISION OF SECURITIES REVIEWED
MR. BOGART'S CRD RECORDS AND IMPOSED AN ORDER
GRANTING CONDITIONAL REGISTRATION.

Resolution

Order

SanctionDetails

Broker Comment

THE MARYLAND DIVISION OF SECURITIES REVIEWED
MR. BOGART'S CRD RECORDS AND DETERMINE THAT IT
WAS IN THE BEST INTEREST OF THE DIVISION TO
IMPOSE AN ORDER GRANTING CONDITIONAL
REGISTRATION. PRIOR TO THE ORDER BEING IMPOSED,
MR.BOGART HAS BEEN CONTINUOUSLY REGISTERED IN
MARYLAND SINCE JUNE 26, 2001 SHORTLY AFTER HIS
FIRST DATE OF EMPLOYMENT AT FBW.

 Arbitration Details
 Disciplinary Action Details

3/20/2002

Customer Dispute

Settled



Allegations

CLIENT ALLEGES GROSS MISMANAGEMENT AND
ASSERTED THAT TRANSACTIONS WERE
UNAUTHORIZED. ALLEGED DAMAES OF APPROXIMATELY
$156,000.00

Damage Amount Requested

$156,000.00

https://brokercheck.finra.org/individual/summary/1186538

2/14

3/29/2018

BRIAN JOHN BOGART - BrokerCheck

Settlement Amount

$43,000.00

Broker Comment

CASE WAS SETTLED BY PRIOR EMPLOYER WITHOUT
ANY INVOLVEMENT OR CONTRIBUTION BY REGISTERED
REP, WHO DENIES ANY AND ALL ALLEGATIONS OF
WRONGDOING.

 Arbitration Details
 Disciplinary Action Details

12/11/2001

Customer Dispute

Pending



Allegations

WRITTEN COMPLAINT FORWARDED BY CUSTOMER TO
NASD ALLEGING THAT CUSTOMER DID NOT RECEIVE
PROPER ADVICE, THAT PLACEMENT OF FUNDS WITH
MONEY MANAGER WAS NOT APPROPRIATE FOR
CUSTOMER AND THAT BOGART AND PRUDENTIAL
SHOULD SHARE IN CUSTOMER LOSSES.

Damage Amount Requested

$78,280.00

 Arbitration Details
 Disciplinary Action Details

11/7/2001

Customer Dispute

Settled



Allegations

ALLEGATIONS OF INAPPROPRIATE, UNSUITABLE AND
UNAUTHORIZED TRADING IN RETIREMENT ACCOUNT.

Damage Amount Requested

$174,850.00

https://brokercheck.finra.org/individual/summary/1186538

3/14

3/29/2018

BRIAN JOHN BOGART - BrokerCheck

Settlement Amount

$45,000.00

 Arbitration Details
 Disciplinary Action Details

9/20/2001

Customer Dispute

Settled



Allegations

CLIENT ALLEGED THAT REPRESENTATIVE BOGART
RECOMMENDED UNSUITABLE INVESTMENTS BASED ON
RISK PROFILE AND INVESTMENT OBJECTIVES AND THAT
ALLEGED DAMAGES ARE IN EXCESS OF $5,000.00.

Settlement Amount

$20,000.00

 Arbitration Details
 Disciplinary Action Details

8/27/2001

Regulatory

Final



Initiated By

VIRGINIA - SECURITIES DIVISION

Allegations

BASED ON MR. BOGART'S DISCIPLINARY HISTORY, HE
AND FERRIS, BAKER WATTS INCORPORATED, THE
BROKER-DEALER AND INVESTMENT ADVISOR FIRM,
AGREED TO BE BOUND BY A SPECIAL SUPERVISION
ORDER WHICH REQUIRES THE CONSTANT MONITORING
OF MR. BOGART'S ACTIVITIES FOR A MINIMUM PERIOD
OF 12 MONTHS.

Resolution

Order

https://brokercheck.finra.org/individual/summary/1186538

4/14

3/29/2018

BRIAN JOHN BOGART - BrokerCheck

SanctionDetails

Sanctions

SPECIAL SUPERVISION - ORDER DISMISSED ON
05/15/2003.

Broker Comment

FBW (BD AND IA) WILL BE MONITORING MR. BOGART'S
ACTIVITIES FOR A MINIMUM PERIOD OF 12 MONTHS.

 Arbitration Details
 Disciplinary Action Details

7/2/2001

Customer Dispute

Settled



Allegations

CUSTOMER COMPLAINED THAT FA TOLD HIM TO "HOLD
ON" TO A STOCK WHICH SUBSEQUENTLY DECLINED IN
VALUE.

Damage Amount Requested

$21,667.73

Settlement Amount

$10,000.00

 Arbitration Details
 Disciplinary Action Details

https://brokercheck.finra.org/individual/summary/1186538

5/14

3/29/2018

BRIAN JOHN BOGART - BrokerCheck

6/21/2001



Employment Separation After
Allegations

Firm Name

PRUDENTIAL SECURITIES INCORPORATED

Termination Type

Permitted to Resign

Allegations

DURING THE TIME MR. BOGART WAS EMPLOYED AT
PRUDENTIAL SECURITIES INCORPORATED, HE WAS THE
SUBJECT OF SEVERAL CUSTOMER COMPLAINTS,
INCLUDING ONE INVOLVING AN ANNUITY.

Broker Comment

DURING THE TIME MR. BOGART WAS EMPLOYED AT
PRUDENTIAL SECURITIES INCORPORATED, HE WAS THE
SUBJECT OF SEVERAL CUSTOMER COMPLAINTS,
INCLUDING ONE INVOLVING AN ANNUITY. CUSTOMER
COMPLAINT INITIATED BY R.G. HERMAN HAS BEEN
DISCLOSED. SEE RESPECTIVE DRP.

 Arbitration Details
 Disciplinary Action Details

1/22/2001

Customer Dispute

Settled

Allegations

CLIENT VERBALLY ALLEGED THAT BROKER BRIAN
BOUGHT EQUITIES IN THE NEW ACCOUNT THAT SHE
OPENED DURING OCTOBER 2000 WHEN SHE HAD
ADVISED HIM TO BUY BONDS.

Damage Amount Requested

$25,237.23

https://brokercheck.finra.org/individual/summary/1186538



6/14

3/29/2018

BRIAN JOHN BOGART - BrokerCheck

Settlement Amount

$25,237.23

Broker Comment

MATTER SETTLED FOR $25,237.23. BROKER BRIAN
BOGART TO CONTRIBUTE $18,675.55. THE CORRECT
STATUS DATE SHOULD BE 2/21/2001. NOT 2/2/01.

 Arbitration Details
 Disciplinary Action Details

10/2/2000

Customer Dispute

Settled



Allegations

CUSTOMER ALLEGES FINANCIAL ADVISOR BOGART
"MISADVISED" HER REGARDING THE TAX TREATMENT OF
AN ANNUITY PURCHASED BY HER IN FEBRUARY 2000.
NO DAMAGES ARE SPECIFIED.

Settlement Amount

$43,658.43

 Arbitration Details
 Disciplinary Action Details

11/23/1998

Customer Dispute

Settled



Allegations

CUSTOMER ALLEGED THAT VARIOUS FIXED INCOME
INVESTMENTS WERE NOT APPROPRIATE FOR HIS IRA
ACCOUNT, WITH ALLEGED DAMAGES OF $90,000.

Damage Amount Requested

$90,000.00

Settlement Amount

$36,000.00

https://brokercheck.finra.org/individual/summary/1186538

7/14

3/29/2018

BRIAN JOHN BOGART - BrokerCheck

Broker Comment

PRUDENTIAL SECURITIES INCORPORATED AGREED TO
ADJUST CUSTOMER'S ACCOUNT IN THE AMOUNT OF
$36,000. FA IS CONTRIBUTING $10,000 TO THE
SETTLEMENT. NEITHER I NOR PSI ADMIT ANY
WRONGDOING IN REACHING THE SETTLEMENT WITH
CUSTOMER. THE DECISION TO SETTLE AND
CONTRIBUTE WAS PRIMARILY UPON BUSINESS
CONSIDERATIONS. I BELIEVE CUSTOMER'S DECISION TO
COMPLAIN IN NOV. 98 WAS SURELY MOTIVATED BY A
DECLINE IN ACCOUNT VALUE DUE TO MARKET
CONDITIONS AND HIS OWN IMPATIENCE.

 Arbitration Details
 Disciplinary Action Details

7/1/1996

Customer Dispute

Settled



Allegations

CLIENT COMPLAINED THAT SHE WAS PLACED INTO
FIXED INCOME INVESTMENTS AT A TIME THE STOCK
MARKET INCREASED. DAMAGES ARE UNSPECIFIED, BUT
BELIEVED TO BE IN EXCESS OF $10,000. FA ADOMENTLY
DENIES ANY WRONGDOING.

Settlement Amount

$18,000.00

Broker Comment

WITHOUT ADMITTING LIABILITY ON BEHALF OF THE FIRM
OR ANY OF ITS EMPLOYEES, THE MATTER WAS SETTLED
FOR $18,000. Not Provided

 Arbitration Details
 Disciplinary Action Details

https://brokercheck.finra.org/individual/summary/1186538

8/14

3/29/2018

BRIAN JOHN BOGART - BrokerCheck

10/2/1993

Customer Dispute

Settled



Allegations

UNSUITABILITY-THE AMOUNT OF THE CLAIM WAS
$30,193.00.

Damage Amount Requested

$30,193.00

Settlement Amount

$20,000.00

Broker Comment

PRUDENTIAL SECURITIES SETTLED THE CLAIM BY
CUSTOMER'S IN THE AMOUNT OF $20,000.00. THE
CUSTOMER'S COMPLAINT AND SETTLEMENT HAS TO DO
WITH THE TRADING DONE IN HIS ACCOUNT BY JOHN
HUSSAIN. I WAS NOT INVOLVED IN MAKING ANY OF THE
TRADING DECISIONS. WHEN CUSTOMER INDICATED TO
ME THAT HE WANTED TO TAKE ADVANTAGE OF A BEAR
MARKET MOVE TO REFERRED HIM TO JOHN HUSSIAN.
THEY DISCUSSED A STRATEGY AND IMPLEMENTED THE
TRADES. THEREFORE, I DO NOT BELIEVE THAT I
SHOULD BE PENALIZED ON MY U-4.

 Arbitration Details
 Disciplinary Action Details

7/14/1993

Customer Dispute

Settled



Allegations

CLIENT ALLEGES THAT INDIVIDUAL AND ANOTHER FA
CONDUCTED UNAUTHORIZED AND UNSUITABLE STOCK
AND OPTIONS TRADING ALLEGED DAMAGES ARE
APROXIMATELY $40,000.

Damage Amount Requested

$40,000.00

https://brokercheck.finra.org/individual/summary/1186538

9/14


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