FINRA Reportedly Bars Barbara Bernatzky after Customer Alleges Misappropriation
According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority has barred Barbara Ann Bernatzky (also known as Barbara Bertnatzky, CRD #2535421) from the securities industry after she reportedly refused to appear for on the record testimony during a FINRA investigation. The investigation was in connection with “potential misconduct” at her member firm, Henley and Co., according to the Letter.
According to her FINRA BrokerReport, a customer reportedly filed a complaint against Bernatzky on December 16, 2021 for allegations that the firm failed to supervise “its registered representative, to carry out a Ponzi scheme to defraud and misappropriate approximately $1,000,000.00.” The damage amount requested is $1,000,000 and the complaint is currently pending, according to FINRA.
Bernatzky was reportedly registered with the following FINRA registered firms, among others during her 26-year career in the securities industry:
04/05/2006 – 08/18/2021, HENLEY & COMPANY LLC (CRD#:131453), SHOREHAM, NY,
07/27/1999 – 04/19/2006, PRIME CAPITAL SERVICES, INC. (CRD#:18334), SHOREHAM, NY
Potential Lawsuits to Recover Financial Losses
The White Law Group is investigating potential securities fraud lawsuits regarding the liability that Bernatzky’s employers may have for failure to properly supervise her.
When brokers and registered investment advisors violate securities laws, such as churning accounts or making unsuitable investment recommendations, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. We represent investors in all 50 states including New York. Our attorneys have recovered millions of dollars from many brokerage firms in the past.
If you are concerned about your investments with Barbara Bernatzky, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.
For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.
Tags: Barbara Bernatzky complaints, Barbara Bernatzky fraud scheme, Barbara Bernatzky investigation, Barbara Bernatzky investment losses, Barbara Bernatzky lawsuit, Barbara Bernatzky Ponzi, Barbara Bernatzky Shoreham NY Last modified: May 24, 2022