2019062948102 James Brett Stuart CRD 3022149 Complaint gg (2023-1701044399872).pdf
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.