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Joena Bartolini Fired from Raymond James & Associates

Jan 24, 2023 Fired Brokers

Joena Bartolini (CRD #: 4844120), a broker formerly registered with Raymond James & Associates, was fired from the firm, according to her BrokerCheck record, accessed on January 17, 2023. If you want to know more about her alleged conduct as a broker, keep reading.

Termination from Raymond James & Associates

On November 30, 2022, Joena Bartolini was fired from Raymond James & Associates following allegations that she violated firm policy by transmitting privileged, confidential, and proprietary information outside of the firm without approval.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Transmitting confidential information may violate FINRA Rule 2010. 

Background Information

Joena Bartolini has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 99TO – Operations Professional Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

She previously worked for the following firms:

  • Raymond James & Associates (CRD#:705)
  • Raymond James Financial Services (CRD#:6694)
  • T. Rowe Price Investment Services (CRD#:8348)

Kurta Law Can Help

If you worked with Joena Bartolini and you have concerns about your investments, please contact us today at 877-600-0098 or 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.