Barry George Hartman — Undisclosed Business Activity, Selling Away

investment fraud lawyersBroker Barry Hartman, Formerly of FSC Securities, Allegedly Participated in Undisclosed Outside Business Activity and Undisclosed Private Securities Transactions

Barry Hartman, a stockbroker formerly with FSC Securities, allegedly participated in an undisclosed outside business activity and also participated in an undisclosed private securities transaction, according to a recent report from FINRA.

Barry Hartman, whilst registered with FSC Securities, allegedly took part and did business with Rocky Mountain Financial, LLC which is located near Missoula, Montana, according to BrokerCheck. The size of the business is yet to be determined, FINRA further alleges, and Hartman’s activities are still under investigation, but many investors have reportedly come forward claiming that Hartman sold them promissory notes and warrants in a company called Invizeon Corporation.

Barry Hartman Allegedly Sold Away Shares of Invizeon

Barry George Hartman, terminated by FSC in March of 2015, reportedly sold away shares of Invizeon, a Montana based software business that develops software platforms and solutions for government and enterprise organizations.

Selling away refers to the practice when a financial advisor solicits investments in companies that are not pre-approved by the broker’s affiliated firm. Hartman is reportedly listed as an owner of Invizeon, which may be in financial trouble.

In addition, FINRA notes, Barry Hartman was previously investigated for allegations of unsuitable recommendations of non-traded REITs and AIG stock.

The Peiffer Rosca Wolf Investor Rights Lawyers Investigating

The Peiffer Rosca Wolf investor rights lawyers often represent investors who lose money as a result of investment misconduct. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Barry Hartman investors who believe they lost money as a result of investment misconduct may contact the investor rights lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1180 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.