John Kevin Barrett (CRD #4748518) Has Disclosure Events on FINRA BrokerCheck
John Kevin Barrett (CRD #4748518) has been the subject of disclosure events, which have recently been reported on his FINRA BrokerCheck Report. According to John Kevin Barrett’s FINRA BrokerCheck report accessed on January 17, 2026, John Kevin Barrett has been the subject of one regulatory event, four customer disputes, and twelve judgment/lien disclosures. If you invested with John Kevin Barrett and you have concerns about his activity, keep reading.
BrokerCheck link: BrokerCheck
BrokerCheck report: BrokerCheck Report (PDF)
Regulatory Action(s)
John Barrett’s FINRA BrokerCheck Report reflects one regulatory event disclosure. A summary of the regulatory action is below:
On April 21, 2021, FINRA initiated a regulatory action alleging that John Barrett failed to respond to a FINRA request for information. The disclosure reflects that the matter was resolved by letter, and that on July 26, 2021, John Barrett was permanently barred from association with any FINRA member in all capacities after failing to request termination of his suspension within three months of the Notice of Suspension.
Investor Disputes / Customer Complaints
John Barrett’s FINRA BrokerCheck Report lists four customer dispute disclosures. Two recent disputes are summarized below. BrokerCheck also reports two additional customer disputes.
On November 25, 2025, a customer alleged that John Barrett made unsuitable recommendations and made misrepresentations and omissions, and that he violated Reg BI. The product types listed on the disclosure are Real Estate Security and Other: REIT, and the alleged damages are $260,000.00. The disclosure reflects the matter is pending.
On July 9, 2025, a customer alleged that John Barrett made an unsuitable investment recommendation. The product type listed on the disclosure is Real Estate Security, and the alleged damages are $166,056.00. The disclosure reflects the matter is pending.
Judgment / Lien
John Barrett’s FINRA BrokerCheck Report lists twelve judgment/lien disclosures. Two liens are summarized below. BrokerCheck also reports ten additional judgment/lien disclosures.
One judgment/lien disclosure reflects an outstanding tax lien in the amount of $53,268.85 held by the IRS, filed on April 23, 2019 in Superior Court in Redwood City, California.
Another judgment/lien disclosure reflects an outstanding tax lien in the amount of $100,014.47 held by the Internal Revenue Service, filed on October 24, 2017 in Superior Court in Redwood City, San Mateo County.
Rule summary #1: FINRA Rule 8210 (Provision of Information and Testimony)
FINRA Rule 8210 (Provision of Information and Testimony) requires members and associated persons to provide information, testimony, and documents when requested by FINRA as part of investigations and examinations.
Rule summary #2: FINRA Rule 2111 (Suitability)
FINRA Rule 2111 (Suitability) requires brokers and firms to have a reasonable basis to believe a recommended transaction or investment strategy is suitable for the customer based on the customer’s investment profile and the facts of the recommendation.
Why this Matters to Investors (Regulation Best Interest)
Regulation Best Interest (Reg BI) is a U.S. securities regulation designed to strengthen the standard of conduct that broker-dealers owe to retail investors when making recommendations about securities transactions or investment strategies. Adopted by the U.S. Securities and Exchange Commission and effective as of June 30, 2020, Reg BI aims to enhance investor protection while preserving investor access to brokerage products and services.
Reg BI requires broker-dealers and financial advisors to act in the best interest of the retail customer at the time a recommendation is made, and not to place their own financial or other interests ahead of the customer’s. This represents a higher standard than the historical “suitability” requirement, which only required that recommendations be suitable, not necessarily optimal or conflict-free.
Reg BI is built around four key obligations:
- Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and recommendations, including fees, scope of services, and conflicts of interest.
- Care Obligation – Recommendations must be made with reasonable diligence, care, and skill, considering costs, risks, and alternatives.
- Conflict of Interest Obligation – Firms must identify, disclose, and mitigate or eliminate conflicts, particularly those that create incentives to favor one product over another.
- Compliance Obligation – Firms must establish policies and procedures designed to ensure compliance with Reg BI as a whole.
Importantly, Reg BI applies at the recommendation level, not as a continuous duty like the fiduciary standard applicable to registered investment advisers. Still, it significantly narrows the gap by emphasizing cost considerations, conflict management, and investor-focused decision-making.
Overall, Regulation Best Interest seeks to promote transparency, improve the quality of investment recommendations, and reinforce trust between retail investors and broker-dealers in the U.S. securities markets.
Background Information (from BrokerCheck)
Based on his BrokerCheck Report, John Barrett:
- Is not currently registered as a broker.
- Has passed the Securities Industry Essentials (SIE), Series 7, and Series 66 exams.
- Was previously registered with firms that include Emerson Equity LLC and Lincoln Financial Advisors Corporation.
Kurta Law Can Help
If you have worked with John Barrett and you have concerns about his activity, Kurta Law may be able to help you evaluate potential recovery options. You may be entitled to pursue a claim through FINRA arbitration, depending on the facts of your situation and the investments involved. Contact Kurta Law at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
Helpful resources: Unsuitable Investments | Misrepresentation and Omission
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