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Bryan Kocen Barred by FINRA

Bryan Kocen (CRD #: 2119036) was the subject of a regulatory bar. This is according to his BrokerCheck record, accessed on June 26, 2024. Details concerning his FINRA bar are provided below. 

Regulatory Action 

On May 28, 2024, FINRA barred Bryan Kocen following allegations that he refused to produce information and documents and to appear for on-the-record testimony requested by FINRA in connection with its net capital cause examination of Kocen’s member firm. According to FINRA, Bryan Kocen initially cooperated but ceased doing so. 

You can read a copy of the bar here. 

FINRA 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

Employment Separation After Allegations

On May 28, 2024, Financial Goal Securities fired Bryan Kocen following his FINRA bar. 

Background Information 

Bryan Kocen has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 99TO Securities Essentials Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 14 Compliance Officer Examination 
  • Series 27 Financial and Operations Principal Examination 
  • Series 24 General Securities Representative Examination 

Kurta Law Can Help 

If you have worked with Bryan Kocen and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

 

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