National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“Kevin Barrett Emerson Equity Investigation”) into former Emerson Equity broker John Kevin Barrett (“Kevin Barrett”) in light of a disciplinary bar disclosed by FINRA. In July 2021, FINRA barred Kevin Barrett for failing to request termination of his suspension within three months of notice of his suspension. The suspension relates to Kevin Barrett’s failure to respond to FINRA’s request for information.
John Barrett Emerson Equity and the July 2021 FINRA AWC
According to BrokerCheck, FINRA suspended Kevin Barrett for failing to respond to FINRA request for information in April 2021. On July 26, 2021, FINRA barred Kevin Barrett from association with any FINRA member in all capacities.
Kevin Barrett was formerly registered with Emerson Equity LLC (Westlake Village, CA) from January 2015 to February 2021. Before his registration at Emerson Equity LLC, Kevin Barrett’s previous registrations included:
- Lincoln Financial Advisors Corporation (March 2014 to January 2015)
- Emerson Equity LLC (June 2008 to March 2014)
- Cuso Financial Services LP (January 2005 to June 2008)
- AG Edwards & Sons, Inc. (May 2004 to November 2004)
- ML Stern & Co., LLC (April 2004 to June 2004)
Kevin Barrett’s BrokerCheck also discloses 12 Judgment/Liens ranging from January 2012 to April 2019.
Invest with Kevin Barrett at Emerson Equity?
Former customers of ex-Emerson Equity broker Kevin Barrett with investment losses that exceed $100,000, and those who may have information relating to the manner in which the broker handled their accounts, are encouraged to contact Lawrence L. Klayman, Esq., at (561) 542-5131, and download our Special Investor Report.
KT is a leading national securities law firm which practices exclusively in the field of securities arbitration on behalf of retail and institutional investors throughout the world in large and complex securities matters. KT has recovered more than $220 million for investors in FINRA arbitrations. KT has office locations in California, Florida, New York, and Puerto Rico.
Lawrence L. Klayman, Esq. (561) 542-5131