Last Updated: February 2024 (Houston, Texas)
Brian Bova Investigation Summary
Here’s what you need to know about Houston, stockbroker Brian Bova:
- Name: Mr. Brian James Bova
- Current Employer: Inscription Family Office LLC (RIA), Inscription Capital (RIA)
- Previous Firms: Cabot Lodge Securities, Purshe Kaplan Sterling Investments, UBS Financial Securities
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Brian Bova
- Primary Location: Houston, Texas
- FINRA CRD 4445536
- SEC RIA CRD 4445536
- Can Brian Bova be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Terminated by a prior FINRA firm: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Brian Bova As Your Stockbroker?
In 12/2023 Brian Bova was permitted to resign from Cabot Lodge Securities who make the following allegation on his FINRA CRD: “Mr. Bova engaged in activities as a General Partner- through a separate entity over which Mr. Bova had control- of a Reg D offering, without obtaining permission from the firm.”
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
Private Placements under Reg D: What is a Private Placement? According to the U.S. Securities and Exchange Commission (SEC):
“Under the federal securities laws, a company may not offer or sell securities unless the offering has been registered with the SEC or an exemption from registration is available. Offerings exempt from the SEC’s registration requirements pursuant to Securities Act Section 4(a)(2) or its safe harbor under Regulation D of the Securities Act are often referred to as private placements.”
The SEC warns that unregistered offerings may be utilized to conduct investment scams and that investors should have the ability to weather a total loss in these illiquid investments. See this SEC Investor Alert about red flags to watch out for in unregistered offerings.
If you have suffered investment losses in an account handled by Brian Bova , contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
