FINRA Sanctions Barbaraann Bernatzky

Soreide Law Group is investigating possible investor claims against securities broker Barbaraann Bernatzky AKA Barbara Ann Bernatzky and Barbara Ann Washeim [CRD#: 2535421, Shoreham, NY]. Notably, FINRA sanctioned the securities broker, who worked for Henley Company. Allegedly, Bernatzky failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Here is a brief summary FINRA’s allegations against Bernatzky.

FINRA Sanctions Henley Company Securities Broker For Failure To Testify

Evidently, on May 23, 2022, FINRA issued Case #: 2021072336501 sanctioning Barbaraann Bernatzky for infractions. Specifically, FINRA barred the securities broker. Notably, FINRA alleged that Bernatzky failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules.

Supposedly, FINRA began an investigation into Bernatzky concerning potential misconduct that took place when she was associated with Henley & Company LLC's branch office. In connection with that investigation, FINRA sent Bernatzky a request for on-the-record testimony on April 21, 2022. Bernatzky sent FINRA an email on May 4, 2022, where she indicated that she had received the request for on-the-record testimony but would appear at any time. Bernatzky violated FINRA Rules 2010 and 8210 as a result.

Henley Company Investor Accuses Barbaraann Bernatzky Of Failure To Supervise

Also, on December 16, 2021, a Henley Company client filed FINRA Arbitration #: 21-03034 about Barbaraann Bernatzky. Namely, the client alleged that Bernatzky failed to supervise. Because of this, the client sustained damages on private investments. Therefore, the client requested $1,000,000 in compensation from Henley Company or Bernatzky. Evidently, this arbitration is pending a resolution.

Recent Employer Information

Barbaraann Bernatzky worked for Henley Company in Shoreham, NY, as a securities broker from April 5, 2006 to August 18, 2021.

Did Henley Company Securities Broker Barbaraann Bernatzky Cause You To Experience Damages?

Have you sustained damages because of investing through Barbaraann Bernatzky? If so, get in touch with Soreide Law Group at (888) 760-6552 and speak with a securities attorney about a possible recovery of your investment losses. Notably, Soreide Law Group has successfully recovered money for investors in all 50 states. The firm represents clients on a contingency fee basis and advances all costs. Bernatzky and brokerage firms Bernatzky was employed by deny any and all allegations of sales practice violations.