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Barbara Ann Bernatzky Indefinitely Barred by FINRA

Jun 8, 2022 Barred Broker

Barbara Bernatzky (CRD #: 2535421) has been barred by FINRA, according to her BrokerCheck record, accessed on June 2, 2022. This follows allegations that she operated a Ponzi scheme--keep reading if you have questions regarding her conduct. 

Bar from FINRA

On May 23, 2022, Barbara Bernatzky was barred by FINRA after allegedly refusing to appear for on-the-record testimony in connection with a FINRA investigation into potential misconduct that occurred at her branch office of Henley & Company.

According to the Acceptance, Waiver & Consent (AWC) agreement, this alleged failure to appear for testimony violates FINRA Rules 8210 and 2010.

FINRA Rules 8210 and 2010

FINRA Rule 8210 requires members to provide testimony and permit inspection of books and records upon request.

Violations of this and other regulations are frequently automatic violations of FINRA Rule 2010, which requires FINRA members to uphold high standards of commercial honor.

Sanctions

Barbara Bernatzky was indefinitely barred from associating with FINRA members in all capacities starting on May 23, 2022.

You can read the full AWC filing here.

Alleged Fraud

On December 16, 2021, an investor alleged that Barbara Bernatzky carried out a Ponzi scheme to defraud and misappropriate approximately $1,000,000 in client funds. The dispute also alleges the firm’s culpability in failing to supervise Barbara Bernatzky. The client seeks $1,000,000 in damage in this pending dispute.

FINRA Rules 2150 and 2010

FINRA Rule 2150 prohibits the improper use of clients’ funds and securities.

Fraudulent schemes violate FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor and ethical conduct.

Background Information

Barbara Bernatzky has passed the following exams:

  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination

She has also worked for the following firms:

  • Henley & Company (CRD#:131453)
  • Prime Capital Services (CRD#:18334)
  • Raymond James Financial Services (CRD#:6694)
  • Robert Thomas Securities (CRD#:10147)

Kurta Law Can Help

If you worked with Barbara Bernatzky and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.