Kelly Barnett (Kelly Marvin Barnett) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating possible claims against stockbroker Kelly Barnett.
In May 2018 Kelly Barnett was fined $15,000 and suspended for 6 months from practicing as a broker. Kelly Barnett worked for FSC Securities Corporation in Sarasota, Florida from January 2016 to April 2018.
Kelly Barnett was previously associated with Metlife Securities, Inc. from August 2012 to December 2015.
FINRA alleges that Kelly Barnett engaged in the following misconduct: made trades in customer accounts without written authorization or acceptance of the accounts as discretionary, falsified notes of client contact, and causing the firm to maintain inaccurate books and records.
Barnett’s alleged conduct violates NASD Rule 2510(b), FINRA Rule 2010, and FINRA Rule 4511. Kelly Barnett was fired by Metlife Securities in November 2015 for failing to follow firm policies regarding discretionary trading and signatures on customer documents.
If you invested money through Kelly Barnett, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.
Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.
Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.