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.
- Key Docs
- Official SEC press release
