INVESTORS: Former Henley & Company broker Barbara Ann Bernatzky was barred by FINRA after she refused to appear for on-the-record testimony.
Barbara Ann Bernatzky (CRD#: 2535421) was registered as a broker with Henley & Company from 2006 until 2021. Previously, Bernatzky was registered as a broker with Prime Capital Services from 1999 until 2006.
Bernatzky has two disclosures on her BrokerCheck report.
May 2022 Regulatory Judgment
Initiated By: FINRA
Allegations: Without admitting or denying the findings, Bernatzky consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony requested by FINRA in connection with its investigation regarding potential misconduct that occurred her member firm’s branch office.
Resolution: Acceptance, Waiver & Consent (AWC)
Bar: Bar (Permanent)
Registration Capacities Affected: All Capacities
Start Date: 5/23/2022
December 2021 Customer Dispute
Allegations: Customer alleges Firm failed to provide reasonable, adequate and meaningful supervision over Firm’s branch office, allowing its registered representative, to carry out a Ponzi scheme to defraud and misappropriate approximately $1,000,000.00.
Damage Amount Requested: $1,000,000.00
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