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Susan Barnett Allegedly Gave Poor Advice to Investor

Dec 5, 2022 Investor Disputes

Susan Barnett (CRD #: 3021988), a broker registered with J.P. Morgan Securities, was recently involved in a dispute, according to her BrokerCheck record, accessed on November 28, 2022. Keep reading if you have questions about her conduct as a broker.

Investor Dispute

On October 16, 2022, an investor alleged that Susan Barnett gave “poor advice” with regard to a managed account investment on March 18, 2021. The client sought $100,000 in damages but was denied by the firm.

Investors should know, however, that firms can deny disputes without allowing an outside dispute. Investors may be able to recoup their losses by pursuing FINRA arbitration after a denial.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Offering poor advice could be a violation of FINRA Rule 2010. If you have questions about your broker’s conduct, you should reach out to a securities attorney today. 

Background Information

Susan Barnett has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Susan Barnett is a registered broker in 22 states and a registered investment adviser in Texas and Washington.

She has also worked for the following firms:

  • Chase Investment Services (CRD#:25574)
  • UnionBanc Investment Services (CRD#:14455)
  • U.S. Bancorp Investments (CRD#:17868)
  • WAMU Investments (CRD#:599)

Kurta Law Can Help

If you worked with Susan Barnett 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.