Bhaskarray Barot Barred by FINRA

Bhaskarray Barot (CRD #: 6374573), a broker formerly registered with TS Imagine Brokerage Services, has been barred by FINRA, according to his BrokerCheck record, accessed on February 7, 2025. Keep reading if you want to know more about his alleged conduct as a broker.

Bar by FINRA

On January 24, 2025, Bhaskarray Barot consented to the entry of findings that he allegedly refused to appear for on-the-record testimony requested in connection with a FINRA investigation.

According to a Letter of Acceptance, Waiver & Consent (AWC), TS Imagine Brokerage Services filed an amended Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that Bhaskarray Barot had been discharged by the firm.

The AWC concluded that his alleged refusal to appear for testimony constitutes a violation of FINRA Rules 8210 and 2010.

FINRA Rule 8210

FINRA Rule 8210 requires members to provide documents, information, and testimony upon request by FINRA.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

Bhaskarray Barot was permanently barred by FINRA on January 24, 2025. You can read the full AWC here.

Termination from TS Imagine Brokerage Services

On January 11, 2023, Bhaskarray Barot was fired from TS Imagine Brokerage Services following allegations of potential fraud or wrongful taking of property and violation of firm policy with regard to his use of a corporate credit card and related documentation.

The firm stated that these allegations were not related to investments or sales practices.

Background Information

Bhaskarray Barot has passed the following exams:

• Financial and Operations Principal Examination – Series 27
• Introducing Broker/Dealer Financial Operations Principal Examination – Series 28
• General Securities Principal Examination – Series 24
• Securities Industry Essentials Examination – SIE
• Investment Banking Registered Representative Examination – Series 79
• Securities Trader Exam – Series 57
• Operations Professional Examination – Series 99
• General Securities Representative Examination – Series 7
• Uniform Securities Agent State Law Examination – Series 63

In the past, he worked for TS Imagine Brokerage Services (CRD#:146283) and TD Securities (USA) (CRD#:18476).

Kurta Law Can Help

If you worked with Bhaskarray Barot 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 that 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.