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Geoffrey Barker Subject of Pending Dispute

Geoffrey Barker (CRD #: 4702518), a broker registered with J.P. Morgan Securities, is involved in a pending dispute, according to his BrokerCheck record, accessed on July 30, 2022. Read on if you have questions about Geoffrey Barker’s conduct as a broker.

Investor Dispute

On June 2, 2022, two securities trading entities filed a dispute alleging Geoffrey Barker’s involvement in violations of various FINRA rules in connection with J.P. Morgan Securities’ Initial Public Offering allocation process, among other unspecified allegations. This dispute is currently pending.

FINRA Rule 5131

FINRA Rule 5131 defines and prohibits certain conflicts of interest FINRA members may have concerning share allocation, as well as requiring certain trading practices in regards to securities offerings.

Background Information

Geoffrey Barker has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 3 – National Commodity Futures Examination
  • Series 7 – General Securities Representative Examination
  • Series 10 – General Securities Sales Supervisor – General Module Examination
  • Series 9 – General Securities Sales Supervisor – Options Module Examination

Geoffrey Barker is a registered broker in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

He has also worked for J.P. Morgan Securities (CRD#:18718) and Goldman, Sachs & Company (CRD#:361).

Kurta Law Can Help

If you worked with Geoffrey Barker 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. 

 

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