Brian Beh: FINRA Investigates Frontier Solutions Advisor

Richmond, Virginia financial advisor Brian Beh (CRD# 1500962) is under investigation by financial industry regulators in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is a broker registered with Frontier Solutions and a representative of Beh Investment Partners.

Mr. Beh’s BrokerCheck report discloses FINRA’s investigation into his conduct. Filed in June 2024, the disclosure states that the regulator’s “Department of Enforcement is investigating a matter related to the disclo[s]ure of an outside business activuty [sic] to determine whether violations have occurred.” The investigation remains pending.

For reference. FINRA Rule 3270 prohibits advisors like Mr. Beh from engaging in unapproved outside business activities. “No registered person may be an employee, independent contractor, sole proprietor, officer, director or partner of another person, or be compensated, or have the reasonable expectation of compensation, from any other person as a result of any business activity outside the scope of the relationship with his or her member firm,” the rule states specifically, “unless he or she has provided prior written notice to the member, in such form as specified by the member.” Brokers who violate this rule may be subject to disciplinary action by their member firms or by securities industry regulators.

According to the Financial Industry Regulatory Authority, Brian Beh holds 29 years of securities industry experience. Based in Richmond, Virginia, he has been registered as a broker with Frontier Solutions since 2021. His registration history includes MMX Global Partners (Boca Raton, Florida; ; 2018-2020), First Light Asset Management (Edina, Minnesota; 2015-2018), Roxbury Capital Management (Minnetonka, Minnesota; 1991-1993), Everen Securities (1991-1993), Underwood Neuhaus & Company (1988-1989), and Blunt Ellis & Loewi (1986-1987). His credentials include the passage of five securities industry qualifying exams: the National Commodity Futures Examination, or Series 3; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Illinois and Minnesota. (Information current as of July 20, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.