Can I recover losses from investments with former Henley & Company LLC broker Barbaraann Bernatzky (CRD# 2535421) regarding her involvement in a Ponzi scheme. She has been registered with Henley & Company LLC in Shoreham, New York from 2006 to 2021.
In May 2022, FINRA barred her after she “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.”
Barbaraann Bernatzky Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
December 2021. “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.” The customer is seeking $1 million in damages and the case is currently pending. The complaint was regarding a non-broker deal related product.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Henley & Company LLC may be liable for investment or other losses suffered by Barbaraann Bernatzky’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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