Brian John Bogart

3/29/2018 BRIAN JOHN BOGART - BrokerCheck
BRIAN JOHN BOGART

CRD#: 1186538
B Broker Regulated by FINRA
IA Investment Adviser   Visit SEC
PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747
2010 Corporate Ridge Suite 580
McLean, VA 22102
33 Years of

 16 Disclosures 
 Experience
6 Firms


 3 Exams
Passed 

 14 State
Licenses 
Disclosures 
View By: Date ▼
11/21/2016 Customer Dispute Pending 

Allegations Claimant alleged, inter alia, unsuitability with respect to
investments in managed accounts - 2015 to 2016.
Damage Amount Requested $25,711.11
 Arbitration Details
 Disciplinary Action Details
3/27/2003 Regulatory Final 

Initiated By STATE OF MARYLAND OFFICE OF THE ATTORNEY
https://brokercheck.finra.org/individual/summary/1186538 1/14
GENERAL
Allegations THE MARYLAND DIVISION OF SECURITIES REVIEWED

MR. BOGART'S CRD RECORDS AND IMPOSED AN ORDER
GRANTING CONDITIONAL REGISTRATION.
Resolution Order
SanctionDetails
Broker Comment THE MARYLAND DIVISION OF SECURITIES REVIEWED

MR. BOGART'S CRD RECORDS AND DETERMINE THAT IT
WAS IN THE BEST INTEREST OF THE DIVISION TO
IMPOSE AN ORDER GRANTING CONDITIONAL
REGISTRATION. PRIOR TO THE ORDER BEING IMPOSED,
MR.BOGART HAS BEEN CONTINUOUSLY REGISTERED IN
MARYLAND SINCE JUNE 26, 2001 SHORTLY AFTER HIS
FIRST DATE OF EMPLOYMENT AT FBW.
3/20/2002 Customer Dispute Settled 

Allegations CLIENT ALLEGES GROSS MISMANAGEMENT AND
ASSERTED THAT TRANSACTIONS WERE
UNAUTHORIZED. ALLEGED DAMAES OF APPROXIMATELY
$156,000.00
Settlement Amount $43,000.00
Broker Comment CASE WAS SETTLED BY PRIOR EMPLOYER WITHOUT

ANY INVOLVEMENT OR CONTRIBUTION BY REGISTERED
REP, WHO DENIES ANY AND ALL ALLEGATIONS OF
WRONGDOING.
12/11/2001 Customer Dispute Pending 

Allegations WRITTEN COMPLAINT FORWARDED BY CUSTOMER TO
NASD ALLEGING THAT CUSTOMER DID NOT RECEIVE
PROPER ADVICE, THAT PLACEMENT OF FUNDS WITH
MONEY MANAGER WAS NOT APPROPRIATE FOR
CUSTOMER AND THAT BOGART AND PRUDENTIAL
SHOULD SHARE IN CUSTOMER LOSSES.

Allegations ALLEGATIONS OF INAPPROPRIATE, UNSUITABLE AND
UNAUTHORIZED TRADING IN RETIREMENT ACCOUNT.

Allegations CLIENT ALLEGED THAT REPRESENTATIVE BOGART
RECOMMENDED UNSUITABLE INVESTMENTS BASED ON
RISK PROFILE AND INVESTMENT OBJECTIVES AND THAT
ALLEGED DAMAGES ARE IN EXCESS OF $5,000.00.
8/27/2001 Regulatory Final 
Initiated By VIRGINIA - SECURITIES DIVISION
Allegations BASED ON MR. BOGART'S DISCIPLINARY HISTORY, HE

AND FERRIS, BAKER WATTS INCORPORATED, THE
BROKER-DEALER AND INVESTMENT ADVISOR FIRM,
AGREED TO BE BOUND BY A SPECIAL SUPERVISION
ORDER WHICH REQUIRES THE CONSTANT MONITORING
OF MR. BOGART'S ACTIVITIES FOR A MINIMUM PERIOD
OF 12 MONTHS.
Resolution Order
SanctionDetails
Sanctions SPECIAL SUPERVISION - ORDER DISMISSED ON

05/15/2003.
Broker Comment FBW (BD AND IA) WILL BE MONITORING MR. BOGART'S
ACTIVITIES FOR A MINIMUM PERIOD OF 12 MONTHS.

Allegations CUSTOMER COMPLAINED THAT FA TOLD HIM TO "HOLD
ON" TO A STOCK WHICH SUBSEQUENTLY DECLINED IN
VALUE.
6/21/2001 Employment Separation After 

Allegations
Firm Name PRUDENTIAL SECURITIES INCORPORATED
Termination Type Permitted to Resign
Allegations DURING THE TIME MR. BOGART WAS EMPLOYED AT

PRUDENTIAL SECURITIES INCORPORATED, HE WAS THE
SUBJECT OF SEVERAL CUSTOMER COMPLAINTS,
INCLUDING ONE INVOLVING AN ANNUITY.
Broker Comment DURING THE TIME MR. BOGART WAS EMPLOYED AT

PRUDENTIAL SECURITIES INCORPORATED, HE WAS THE
SUBJECT OF SEVERAL CUSTOMER COMPLAINTS,
INCLUDING ONE INVOLVING AN ANNUITY. CUSTOMER
COMPLAINT INITIATED BY R.G. HERMAN HAS BEEN
DISCLOSED. SEE RESPECTIVE DRP.

Allegations CLIENT VERBALLY ALLEGED THAT BROKER BRIAN
BOUGHT EQUITIES IN THE NEW ACCOUNT THAT SHE
OPENED DURING OCTOBER 2000 WHEN SHE HAD
ADVISED HIM TO BUY BONDS.
Broker Comment MATTER SETTLED FOR $25,237.23. BROKER BRIAN

BOGART TO CONTRIBUTE $18,675.55. THE CORRECT
STATUS DATE SHOULD BE 2/21/2001. NOT 2/2/01.

Allegations CUSTOMER ALLEGES FINANCIAL ADVISOR BOGART
"MISADVISED" HER REGARDING THE TAX TREATMENT OF
AN ANNUITY PURCHASED BY HER IN FEBRUARY 2000.
NO DAMAGES ARE SPECIFIED.

Allegations CUSTOMER ALLEGED THAT VARIOUS FIXED INCOME
INVESTMENTS WERE NOT APPROPRIATE FOR HIS IRA
ACCOUNT, WITH ALLEGED DAMAGES OF $90,000.

Broker Comment PRUDENTIAL SECURITIES INCORPORATED AGREED TO

ADJUST CUSTOMER'S ACCOUNT IN THE AMOUNT OF
$36,000. FA IS CONTRIBUTING $10,000 TO THE
SETTLEMENT. NEITHER I NOR PSI ADMIT ANY
WRONGDOING IN REACHING THE SETTLEMENT WITH
CUSTOMER. THE DECISION TO SETTLE AND
CONTRIBUTE WAS PRIMARILY UPON BUSINESS
CONSIDERATIONS. I BELIEVE CUSTOMER'S DECISION TO
COMPLAIN IN NOV. 98 WAS SURELY MOTIVATED BY A
DECLINE IN ACCOUNT VALUE DUE TO MARKET
CONDITIONS AND HIS OWN IMPATIENCE.

Allegations CLIENT COMPLAINED THAT SHE WAS PLACED INTO
FIXED INCOME INVESTMENTS AT A TIME THE STOCK
MARKET INCREASED. DAMAGES ARE UNSPECIFIED, BUT
BELIEVED TO BE IN EXCESS OF $10,000. FA ADOMENTLY
DENIES ANY WRONGDOING.
Broker Comment WITHOUT ADMITTING LIABILITY ON BEHALF OF THE FIRM

OR ANY OF ITS EMPLOYEES, THE MATTER WAS SETTLED
FOR $18,000. Not Provided

Allegations UNSUITABILITY-THE AMOUNT OF THE CLAIM WAS
$30,193.00.
Broker Comment PRUDENTIAL SECURITIES SETTLED THE CLAIM BY

CUSTOMER'S IN THE AMOUNT OF $20,000.00. THE
CUSTOMER'S COMPLAINT AND SETTLEMENT HAS TO DO
WITH THE TRADING DONE IN HIS ACCOUNT BY JOHN
HUSSAIN. I WAS NOT INVOLVED IN MAKING ANY OF THE
TRADING DECISIONS. WHEN CUSTOMER INDICATED TO
ME THAT HE WANTED TO TAKE ADVANTAGE OF A BEAR
MARKET MOVE TO REFERRED HIM TO JOHN HUSSIAN.
THEY DISCUSSED A STRATEGY AND IMPLEMENTED THE
TRADES. THEREFORE, I DO NOT BELIEVE THAT I
SHOULD BE PENALIZED ON MY U-4.

Allegations CLIENT ALLEGES THAT INDIVIDUAL AND ANOTHER FA
CONDUCTED UNAUTHORIZED AND UNSUITABLE STOCK
AND OPTIONS TRADING ALLEGED DAMAGES ARE
APROXIMATELY $40,000.
Broker Comment FIRM SETTLED THE MATTER FOR $22,000 BASED

PRIMARILY ON THE OPTIONS LOSSES. MR. BOQART DID
NOT DIRECT THE OPTIONS TRADING AND WAS NOT
ASKED TO CONTRIBUTE I CONTINUE TO STRONGLY
DENY AND AND ALL ALLEGATIONS MADE AGAINST ME
AND I AM CONFIDENT THAT I WOULD HAVE SUCCEEDED
IN HAVING ALL CLAIMS DISMISSED HAD THIS QONE TO
LITIGATION.

Allegations CLIENT ALLEGES THAT AN OBLIGATION WAS BREACHED
BY RECOMMENDING FIRST EXECUTIVE STOCK. CLIENT
ALLEGES DAMAGES OF $21,895.95.
Broker Comment THE FIRM SETTLED ALL MATTERS REGARDING

CUSTOMER'S FAMILY'S ACCOUNTS FOR A TOTAL OF
$10,000. THIS MATTER HAS BEEN PREVIOUSLY
REPORTED UNDER "CUSTOMER AND FAMILY" AND
SHOULD BE CONSIDERED AS ONE INCIDENT ONLY. NOT
PROVIDED
Examinations
 State Securities Law Exam
Series 65 - Uniform Investment Adviser Law Examination

Nov 27, 1992
Series 63 - Uniform Securities Agent State Law Examination

Sep 23, 1983
 General Industry/Products Exam
Series 7 - General Securities Representative Examination

Sep 17, 1983
Licenses
State Registrations
B Arizona B New Jersey
B California B North Carolina
B District of Columbia B Pennsylvania
B Florida B South Carolina
B Maryland B Tennessee
B Mississippi B Texas
B Montana B Virginia
SRO Registrations
 FINRA
Current Employments
PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747)
 2010 Corporate Ridge Suite 580, McLean, VA 22102
Registered with this firm since 7/19/2017
Broker Registration History
MORGAN STANLEY (CRD#:149777)

MCLEAN, VA
11/13/2014 - 07/15/2016
RBC CAPITAL MARKETS, LLC (CRD#:31194)

MCLEAN, VA
03/13/2009 - 11/21/2014
FERRIS, BAKER WATTS, LLC (CRD#:285)

MCLEAN, VA
06/26/2001 - 03/13/2009
PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471)

NEW YORK, NY
01/04/1988 - 07/18/2001
DEAN WITTER REYNOLDS INC. (CRD#:7556)

09/19/1983 - 01/12/1988
Additional Information
The content of this summary, and the available detailed report, is governed by FINRA Rule 8312,
and is primarily based on information filed on uniform registration forms. Rule 8312, amendments
to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can
be viewed here.
State regulators are governed by their public records laws (not FINRA Rule 8312), and may
provide information not in BrokerCheck, including information no longer required to be reported or
updated on uniform registration forms due, for example, to its age or final disposition. You may
contact your state regulator to request this additional information.
Click here for more information about how to check on an investment professional.
B Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks,
bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its
own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some
investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of
this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser
Public Disclosure (IAPD) website so you can research further.
PR Previously Registered
A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and
selling securities on behalf of customers) or as an investment adviser (providing advice about securities
to clients). They may still be able to offer other investment-related services if properly licensed to do so.
Click here to learn more.
 Disclosures
Disclosures can be any customer complaints or arbitrations, regulatory actions, employment
terminations, bankruptcy filings and any civil or criminal proceedings that they were a part of.
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3/29/2018 BRIAN JOHN BOGART - BrokerCheck

B Broker Regulated by FINRA

IA Investment Adviser   Visit SEC

PURSHE KAPLAN STERLING INVESTMENTS

View By: Date ▼

11/21/2016 Customer Dispute Pending 

Damage Amount Requested $25,711.11

 Disciplinary Action Details

3/27/2003 Regulatory Final 

Allegations THE MARYLAND DIVISION OF SECURITIES REVIEWED

Broker Comment THE MARYLAND DIVISION OF SECURITIES REVIEWED

 Disciplinary Action Details

3/20/2002 Customer Dispute Settled 

Damage Amount Requested $156,000.00

Settlement Amount $43,000.00

Broker Comment CASE WAS SETTLED BY PRIOR EMPLOYER WITHOUT

 Disciplinary Action Details

12/11/2001 Customer Dispute Pending 

Damage Amount Requested $78,280.00

 Disciplinary Action Details

11/7/2001 Customer Dispute Settled 

Damage Amount Requested $174,850.00

Settlement Amount $45,000.00

 Disciplinary Action Details

9/20/2001 Customer Dispute Settled 

Settlement Amount $20,000.00

 Disciplinary Action Details

8/27/2001 Regulatory Final 

Initiated By VIRGINIA - SECURITIES DIVISION

Allegations BASED ON MR. BOGART'S DISCIPLINARY HISTORY, HE

Sanctions SPECIAL SUPERVISION - ORDER DISMISSED ON

 Disciplinary Action Details

7/2/2001 Customer Dispute Settled 

Damage Amount Requested $21,667.73

Settlement Amount $10,000.00

 Disciplinary Action Details

6/21/2001 Employment Separation After 

Firm Name PRUDENTIAL SECURITIES INCORPORATED

Termination Type Permitted to Resign

Allegations DURING THE TIME MR. BOGART WAS EMPLOYED AT

Broker Comment DURING THE TIME MR. BOGART WAS EMPLOYED AT

 Disciplinary Action Details

1/22/2001 Customer Dispute Settled 

Damage Amount Requested $25,237.23

Settlement Amount $25,237.23

Broker Comment MATTER SETTLED FOR $25,237.23. BROKER BRIAN

 Disciplinary Action Details

10/2/2000 Customer Dispute Settled 

Settlement Amount $43,658.43

 Disciplinary Action Details

11/23/1998 Customer Dispute Settled 

Damage Amount Requested $90,000.00

Settlement Amount $36,000.00

Broker Comment PRUDENTIAL SECURITIES INCORPORATED AGREED TO

 Disciplinary Action Details

7/1/1996 Customer Dispute Settled 

Settlement Amount $18,000.00

Broker Comment WITHOUT ADMITTING LIABILITY ON BEHALF OF THE FIRM

 Disciplinary Action Details

10/2/1993 Customer Dispute Settled 

Damage Amount Requested $30,193.00

Settlement Amount $20,000.00

Broker Comment PRUDENTIAL SECURITIES SETTLED THE CLAIM BY