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Eugene Bartley Suspended by FINRA

Eugene Bartley (CRD #: 2962496), a broker formerly registered with J.P. Morgan Securities, has been suspended by FINRA, according to his BrokerCheck record, accessed on February 8, 2023. If you have questions about his alleged conduct as a broker, read on.

FINRA Suspension

On November 2, 2022, FINRA filed a regulatory action alleging that Eugene Bartley failed to comply with an arbitration award or settlement agreement or to adequately respond to a FINRA request for information as to his compliance.

He was indefinitely suspended on December 7, 2022. His suspension will continue until the required payment is either made or discharged.

FINRA Rule 9554

FINRA Rule 9552 penalizes members who fail to provide documents, information, or testimony requested by FINRA with a suspension. This suspension converts to a bar if the member fails to request an end to their suspension within three months.

Background Information

Eugene Bartley has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 55 – Limited Representative-Equity Trader Exam
  • Series 7 – General Securities Representative Examination

In the past, he worked for the following firms:

  • J.P. Morgan Securities (CRD#:79)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Morgan Stanley Smith Barney (CRD#:149777)
  • Morgan Stanley & Company (CRD#:8209)
  • UBS Financial Services (CRD#:8174)
  • Jeffries & Company (CRD#:2347)
  • Salomon Smith Barney (CRD#:7059)

Kurta Law Can Help

If you worked with Eugene Bartley and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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