Securities Regulators Bar John “Kevin” Barrett after Investigation
According to public records, on April 21st, 2021, financial advisor John “Kevin” Barrett (CRD#:4748518) was barred by securities regulators.
According to FINRA, Barrett reportedly failed to provide information and documents that were requested during its investigation. As a result, Keller allegedly violated FINRA Rules 8210 and 2010 and is barred from working as a broker.
Barrett’s FINRA BrokerCheck report indicates that he has 12 judgment/liens, one customer complaint and one regulatory action. Numerous judgments or liens on a broker’s FINRA BrokerCheck profile may signal financial instability, potential regulatory concerns, and an increased risk of misconduct. Tax liens suggest long-term financial struggles, which can affect a broker’s credibility with firms and clients.
Kevin Barrett was reportedly registered with the following firms among others during his career in the securities industry:
01/07/2015 – 02/03/2021, EMERSON EQUITY LLC (CRD#:130032) Westlake Village, CA
03/24/2014 – 01/05/2015, LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) SAN RAMON, CA
06/25/2008 – 03/17/2014 EMERSON EQUITY LLC (CRD#:130032) SAN MATEO, CA
Broker Misconduct and Failure to Supervise
Broker misconduct occurs when financial advisors engage in unethical or fraudulent practices, such as misrepresenting investments, unauthorized trading, or misusing client funds. FINRA-registered broker-dealers have a duty to supervise their brokers to prevent such misconduct.
If the firm fails to supervise its brokers properly, it can be held liable through FINRA arbitration. Investors who suffer losses due to a broker’s misconduct can file a claim against both the broker and the firm, alleging failure to supervise. If a firm neglects this duty, it may be ordered to compensate the affected investor through an arbitration award.
Class Action Lawsuit vs. Individual FINRA Arbitration Lawsuit
You may wonder whether a large class action lawsuit is a better litigation option than an individual FINRA arbitration case. The answer depends on many factors, but typically if the loss sustained is large (say larger than $100,000), an individual arbitration claim is likely a better option. Class actions as a recovery option are more appropriate for grouping large numbers of individuals who have small claims – too small to generally pursue individually.
Kevin Barrett, FINRA Lawsuits
If you have suffered investment losses with Kevin Barrett and Emerson Equity, the securities attorneys at the White Law Group may be able to help you by filing a FINRA lawsuit. Please call our offices at (888) 637-5510 for a free consultation. We take cases in all 50 states including California. Learn more about our recent lawsuit filed against Emerson Equity here: Emerson Equity Lawsuit involves Four Springs Capital
National Securities Attorneys
The White Law Group, LLC is a national law firm in securities fraud, securities arbitration, investor protection, and securities regulation and compliance. With offices in Chicago, Illinois and Seattle, Washington, the firm is dedicated to assisting investors across all 50 states with claims against their brokerage firms. Since its founding in 2010, The White Law Group has handled over 800 FINRA arbitration cases.
Last modified: March 25, 2025
