SEC
Whistleblower
Attorneys

July 01, 2019

Fieldstone Financial Management Group LLC, Kristofor R. Behn

Trading and Pricing

SANCTION AMOUNT: $1,322,971

Defendants: Fieldstone Financial Management Group LLC
Kristofor R. Behn

Respondents agreed to settle charges of: (1) defrauding retail investment advisory clients by failing to disclose conflicts of interest related to investment recommendations; and (2) misappropriating approximately $500,000 of one investor’s funds to pay personal expenses.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
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