Articles Tagged with Brian Pittman

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Brian Lewis Pittman, a former broker employed by Naples, Florida-based Westport Resources Investment Services, Inc. (Westport Resources), submitted a Letter of Acceptance, Waiver and Consent in which he consented to, but did not admit to or deny, the described sanctions and the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he participated in private securities transactions without giving the required written notice and without the approval of Westport Resources.

FINRA found that Brian Pittman referred two Westport Resources account holders to invest in an oil and gas limited partnership interest in the Permian Advanced Oil Recovery Investment Fund I, LP, offered by Quest Energy Management Group, Inc. The two Westport customers, according to FINRA, invested $375,000 in the Permian offering and Mr. Pittman received approximately $45,000 from Quest in compensation, which he ultimately ended up returning when he was told to do so. Continue reading →