Jeremy Bahls Suspended for Allegedly Failing to Respond to FINRA Requests for Information

Jeremy Bahls (CRD #: 6869152), a broker formerly registered with NYLIFE Securities, was recently suspended by FINRA for allegedly failing to respond to FINRA requests for information, according to his BrokerCheck Record, accessed on November 24, 2021. His alleged conduct is a violation of FINRA Rules 8210 and 2010. 

FINRA Rule 8210 requires members to provide information under oath, if requested, regarding any matter that pertains to an investigation, complaint, examination, or proceeding. A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” 

Sanctions 

Under FINRA Rule 9552 and in accordance with FINRA’s Notice of Suspension letter dated August 17, 2021, Jeremy Bahls was suspended on September 10, 2021, from associating with any FINRA member firm in all capacities. FINRA Rule 9552 requires brokerage firms and representatives to provide information or keep information current. If brokers do not comply, the suspension converts to a bar. Jeremy Bahls’ suspension was lifted on October 5, 2021. 

Criminal Case  

On October 29, 2021, Jeremy Bahls faced Class A misdemeanor charges. This is after allegations that he committed domestic battery in the presence of a child less than 16 years old.  

The State of Indiana agreed to withhold prosecution and dismiss the charges at the end of the agreement period on March 18, 2022, contingent upon his compliance with each term of the agreement. 

Regulatory Action  

On February 21, 2020, the Indiana Department of Insurance suspended Jeremy Bahls’ license following allegations that of child support delinquency.  

Background Information 

Jeremy Bahls has passed the following exams: 

• Series 63 – Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 6 – Investment Company Products/Variable Contracts Representative Examination 

Jeremy Bahls has only worked with the following firm: 

• NYLIFE Securities (CRD#:5167) 

Kurta Law Can Help  

If you have been victimized by Jeremy Bahls as a broker, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.  

For nearly 20 years, Kurta Law has advocated for investors 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.