Joseph Bartosiewicz Barred by FINRA
Joseph Bartosiewicz (CRD #: 718185) has been barred by FINRA, according to his BrokerCheck record, accessed on August 25, 2023. Keep reading if you have questions about this regulatory action.
On July 28, 2023, Joseph Bartosiewicz was barred by FINRA. He entered into Acceptance, Waiver, and Consent agreement (AWC) in which he consented to the findings that he refused to provide documents and information requested by FINRA during the course of an investigation into his conduct following his former member firm’s AWC. FINRA Rule 8210 requires brokers to respond to FINRA requests for information.
Read a copy of the AWC here.
SagePoint Acceptance, Waiver, and Consent Agreement
In the SagePoint AWC, SagePoint consented to the findings that the firm had violated FINRA Rule 3110 by failing to supervise its brokers. (You can read a copy of that AWC here.)
FINRA Rule 3110
FINRA Rule 3110 requires that firms establish systems of supervision to maintain their compliance with securities regulations. This includes appointing supervisors and providing them with Written Supervisory Procedures (WSPs).
Background Information
Joseph Bartosiewicz 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 22 Direct Participation Programs Representative Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
- Series 24 General Securities Principal Examination
Joseph Bartosiewicz has registered with the following firms:
- LPL Financial (CRD #: 6413)
- SagePoint Financial (CRD #: 133763)
- American General Securities Incorporated (CRD #: 13626)
- USLife Equity Sales Corp (CRD #: 7962)
- BNL Securities (CRD #: 10641)
- IDS Life Insurance Company (CRD #: 6321)
- IDS Marketing Corporation (CRD #: 6363)
- Investors Diversified Services (CRD #: 6320)
Kurta Law Can Help
If you worked with Joseph Bartosiewicz 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. The firm only earns a fee if our securities attorneys recover money on your behalf.
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