James Brett Stuart

03/15/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES BRETT STUART (CRD No. 3022149), Respondent. Disciplinary Proceeding No. 2019062948102 Hearing Officer–RES DEFAULT DECISION March 15, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failing to establish, maintain, and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with applicable securities laws and regulations and FINRA Rules; for failing to reasonably supervise trading in customer accounts; and for failing to appear for on-the-record testimony as required by two FINRA Rule 8210 requests. Appearances For Complainant: Matthew M. Ryan, Esq., Melissa J. Turitz, Esq., and Jeff Fauci, Esq., Department of Enforcement, Financial Industry Regulatory Authority For Respondent: No appearance DECISION I. Introduction FINRA’s Department of Enforcement filed a Complaint against Respondent James Brett S

10/27/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Brett Stuart CRD No. 3022149, Respondent Disciplinary Proceeding No. 2019062948102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between September 2018 and August 2021 (the relevant period), Respondent James Brett Stuart—the Chief Executive Officer (CEO), Chief Compliance Officer (CCO), and majority owner of Richfield Orion International, Inc. (CRD No. 24433)—failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rule 2111, and as of June 30, 2020, the Care Obligation of Rule 15l-1 of the Securities Exchange Act of 1934 (Reg BI), as they pertain to excessive trading.

Reference 2019062948102data-portal.finra.orgfinra.orgdata-portal.finra.org