John Kevin Barrett, of Westlake Village, California, a stockbroker registered with Emerson Equity LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Barrett failed to respond to FINRA’s request for information. Letter No. 2020066078201 (July 26, 2021).
FINRA sent Barrett suspension notices on April 21, 2021, and May 17, 2021. He didn’t ask for his suspension to be ended within three months from the day the suspension notice was issued.
Public Disclosure shows that Barrett was also referenced in a customer initiated investment related complaint that was settled on January 17, 2007, for $13,141.00 in damages based upon allegations that Barrett made omissions of material fact about fees in connection with the recommendation and sale of variable annuities when Barrett was associated with CUSO Financial Services LP.
Barrett was associated with Emerson Equity LLC as a stockbroker between January 7, 2015, and February 3, 2021.
