Barbara Ann Bernatzky, Formerly of Henley & Company, Barred by FINRA Following Refusal to Appear for Testimony

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

Status: Final

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

Duration: Indefinite

Start Date: 5/23/2022

December 2021 Customer Dispute

Status: Pending

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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