Bhaskarray Bhupat Barot, a former stockbroker associated with TS Imagine Brokerage Services LLC in New York, New York, has been permanently barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity following his refusal to comply with a request for testimony. Letter of Acceptance, Waiver, and Consent No. 2023077895901 (January 24, 2025).
According to the AWC, the regulatory action originated from FINRA’s review of an amended Form U5 filed by TS Imagine, which disclosed Barot’s discharge from the securities broker dealer on January 11, 2023, due to allegations involving the misuse of a corporate credit card and related documentation.
Barot failed to provide requested information in connection with the investigation. A request for testimony was sent to him on December 31, 2024, which he acknowledged receiving but refused to comply with. As a result of his failure to cooperate with the regulator, Barot was found in violation of FINRA Rules 8210 and 2010.
Barot had been associated with TS Imagine Brokerage Services LLC from March 2018 to January 2023.
