Barbara Ann Bernatzky, formerly with Henley & Company, Barred by FINRA

SHOREHAM, NEW YORK

Are you a current or former client of advisor Barbara Ann Bernatzky of Shoreham, New York?  Our investment fraud law firm is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Bernatzky, who was barred from the securities industry.

Barbara Ann Bernatzky failed to respond to FINRA’s investigation regarding potential misconduct at her Henley & Company branch office.  A customer complaint was filed in December 2021, alleging that this branch office engaged in a Ponzi scheme and caused losses of about $1 million.

Barbara Bernatzky held a securities license through Henley & Company from 2006 to August 2021.  She worked at a branch office in Shoreham, New York.  Bernatzky was also affiliated with Jefferson Resources, Inc. in Shoreham.

Bernatzky has obligations to follow all FINRA rules while retaining her securities brokerage licenses.  That also required her to respond to all FINRA investigations pursuant to FINRA Rule 8210.  FINRA has also held that a violation of Rule 8210 is also a violation of Rule 2010.  Violations of these rules often result in suspensions or expulsions from the securities industry.

Israels & Neuman PLC is a securities arbitration law firm with offices primarily in Denver and Seattle.  However, we represent investors all over the country, including investors in New York.

Click to view BrokerCheck Report:  Bernatzky, b a  BrokerCheck 5.24.22

Click to view FINRA AWC:  Bernatzky, b a FINRA AWC

If you lost money with Barbara Ann Bernatzky or Henley & Company, please Contact Us at 206-795-5798 for a free evaluation of your case.