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FINRA Investigates Jack Bailey

Jack Bailey (CRD #: 5708044), a broker registered with Bailey & Company Securities, is under investigation by FINRA, according to his BrokerCheck record, accessed on November 5, 2024. Read on to learn more about his alleged conduct as a broker.

FINRA Investigation

On October 24, 2024, FINRA made a preliminary determination to recommend disciplinary action against Jack Bailey, alleging that he failed to disclose private securities transactions in violation of FINRA Rules 3280 and 2010.

FINRA Rule 3280

FINRA Rule 3280 requires brokers to provide their firm with written notice prior to engaging in private securities transactions.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Jack Bailey has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 79TO – Investment Banking Registered Representative Examination
  • SIE – Securities Industry Essentials Examination
  • Series 62 – Corporate Securities Limited Representative Examination
  • Series 24 – General Securities Principal Examination

Jack Bailey is a registered broker in New York, Tennessee, and Virginia.

He has also worked for Stillpoint Capital (CRD#:133146) and Burch & Company (CRD#:102280).

Kurta Law Can Help

If you worked with Jack Bailey 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. 

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