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John Boatright Barred by FINRA for Allegedly Failing to Respond to Requests for Information

Feb 15, 2022 Barred Broker

John Boatright (CRD #: 2545676), a broker formerly registered with Newbridge Securities Corporation, was recently barred for allegedly failing to respond to FINRA requests for information, according to his BrokerCheck Record accessed on February 2, 2022.

FINRA Bar

FINRA Rule 9552 applies in situations where a brokerage firm or representative has failed to provide information or keep information current. FINRA Rule 9552 is a Notice of Suspension if corrective action is not taken. Since John Boatright failed to request termination of his suspension within three months of the date of the Notice of Suspension, he was automatically barred on January 18, 2022.

Prior Disclosures

Tax Lien

On May 17, 2018, John Boatright became the subject of a tax for $22,813. 

Settled Dispute

On April 8, 2020, an investor filed a dispute against John Boatright alleging negligence and breach of fiduciary duty. The case was settled for $100,000.

Background Information

John Boatright has passed the following exams:

  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination
  • Series 24 - General Securities Principal Examination

He has also worked with the following firms:

  • Summit Brokerage Services (CRD#:34643)
  • P. Turner & Company (CRD#:43177)
  • Argent Securities (CRD#:15297)
  • Barron Chase Securities (CRD#:18969)
  • First Colonial Securities Group. (CRD#:25121)
  • La Jolla Capital Corporation (CRD#:24341)
  • Joseph Charles & Assoc. (CRD#:3949)

Kurta Law Can Help 

If you have been victimized by John Boatright as a broker, don't hesitate to get in touch with 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.