Last Updated: June 2025 | Englewood, CO
Here’s what you need to know about Englewood, CO, stockbroker Scot Barringer:
- Name: Mr. Scot Barringer
- Current Employers: American Trust Investment Services, Inc. (San Clemente, CA) and Chicago Capital Management Advisors, LLC (Lisle, IL)
- DBA: TSP Watchdog, Watch Dog Enterprises, Federal Employee Retirement Center, Forethought Financial
- Function: Stockbroker / Financial Advisor
- CRD Number: 1385168
- Primary Location: Englewood, CO
- Previously Registered With: WestPark Capital, Inc., Applied Wealth Management, Inc., Newport Coast Securities, Inc
- Alias: Scott Barringer
- Can Scot Barringer be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
- Discloses Outstanding Tax Lien: Yes
- Highest Settlement or Award: $70,000
- Pending Customer Dispute Seeks Damages of: $70,000
If you’ve sustained damages from Mr. Barringer, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Scot Barringer As Your Stockbroker?
In 4/2025, while employed by American Trust Investment Services, Scot Barringer was sanctioned by FINRA for violations involving speculative debt securities. (Case No. 2020068655903) FINRA suspended Mr. Barringer for three months (5/19/25-8/18/25) and fined him $5,000. He was found to have willfully violated Regulation Best Interest (Reg BI) by recommending speculative, unrated debt securities to retired and conservative investors without a reasonable basis. Additionally, he submitted inaccurate documentation, misreporting net worth of the customers and concentration levels and causing his firm to maintain false records.
A number of customer disputes have also been filed and settled against Mr. Barringer, with settlements ranging from $7,250 to $70,000.
In currently pending FINRA arbitration (Case No. 23-00038) a customer of Westpark Capital alleges breach of fiduciary duty, fraud, and misrepresentation in the sale of GWG L Bonds. Damages of $70,000 are sought.
Barringer discloses a currently outstanding Tax Lien of $4,589 filed in 2015 by the Internal Revenue Service in 10/2015. Mr. Barringer is currently on a payment plan.
Allegations of Broker Misconduct Against Scot Barringer
Allegations of wrongdoing by Scot Barringer include:
Regulatory Violations
- Violations of Regulation Best Interest (Reg BI)
- Unsuitable Investment Recommendations
- Misrepresentation and Omission of Material Facts
- Negligent Supervision
- Failure to Disclose Risks Associated with Alternative Investments
These events raise serious concerns about suitability violations, supervisory lapses, and potential breaches of FINRA Rules 2111 (Suitability) and 3110 (Supervision).
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Scot Barringer, 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.