Last Updated: September 2023 (Timberlake, North Carolina)
Brian Parker Investigation Summary
Here’s what you need to know about Timberlake, N. Carolina stockbroker Brian Parker:
- Name: Mr. Brian Craig Parker
- Current Employer: Supreme Alliance LLC
- Previous Firms: Newbridge Securities, NEXT Financial Group, Century Securities, AIG Financial
- Function: Stock Broker/ Financial Advisor
- Aliases: Brian Parker
- Primary Location: Timberlake, North Carolina
- CRD 1631408
- Can Brian Parker be sued in FINRA arbitration: Yes
- Sanctioned by Regulator: Yes
- Terminated by prior Employer: 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 Parker As Your Stockbroker?
Between 2013 and 2019 there were five tax liens filed against Brian Parker in Person County Superior Court.
In 8/2020 NEXT Financial Group permitted Brian Parker to resign and makes the following allegation on Parker’s CRD: “Repeated failure to timely report unsatisfied judgments/tax liens for Form U4 reporting purposes”. (FINRA uses the Form U4 to elicit employment history, disciplinary and other information about individuals as part of their registration process)
In 11/2021 the State of North Carolina Department of the Secretary of State, Securities Division, fined Brian Parker $2,500 and assessed him $5,000 for investigative costs to resolve allegations that his financial disclosures were not timely.
Allegations of Broker Misconduct Against Brian Parker
Securities regulators have alleged the following wrongdoing in connection with his professional licensing:
- Failure to timely report outstanding tax liens
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
If you have suffered investment losses in an account handled by Brian Parker, contact us for a complimentary consultation with an experience 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.
