25-01199(3).pdf
motion to vacate
FINRA Foundation Releases Findings on Fraud Awareness Among Investors
Half of Investors Do Not Recognize Warning Signs of Fraud; Findings Released in Light of World Investor Week
WASHINGTON—In light of World Investor Week (Oct. 6-12), the FINRA Investor Education Foundation (FINRA Foundation) released today first-look findings from its forthcoming report, “Investors in the United States: A Report of the National Financial Capability Study,” which will be published in December. The report provides an in-depth exploration of the attitudes, behaviors, knowledge and experiences of retail investors in the United States.
Encore | Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
As we kick off World Investor Week, we thought it was the perfect time to revisit some invaluable tips for investors looking to start the year off right with their financial goals. On this episode, which originally aired in January, FINRA’s Head of Investor Education Gerri Walsh shares insights on leveraging market trends and tools to achieve your money goals in 2025.
2025085742501 Jorey T. Bernstein CRD 1808647 AWC vr.pdf
In August 2025, Bernstein refused to provide documents and information as requested by FINRA pursuant to FINRA Rule 8210. As a result, Bernstein violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...
22-01423(3).pdf
Amended
2024081080701 Antaun Cyril Lewis Barnett CRD 4854743 AWC ks.pdf
Between November 2022 and August 2023, Barnett submitted to NYLife Distributors expense reports totaling $4,463.49 for 15 meal, lodging, and transportation expenses that he charged to firm accounts. Barnett characterized the expenses as business expenses, when, in fact, they were personal expenses that did not comply with the firm’s travel and business expense policy. Therefore, Barnett improperly used firm funds in violation of FINRA Rule 2010 and is suspended for six months and fined $5,000.
2023080354701 Leah Renee Ruark CRD 4386482 AWC ks.pdf
From March 2022 to September 2023, Ruark electronically signed nine documents on
behalf of four firm customers without permission and electronically signed eight
documents on behalf of eight firm customers with permission. All of the underlying
transactions were authorized. The documents included required books and records of the
firm. Therefore, Ruark violated FINRA Rules 2010 and 4511. For these violations, Ruark
is suspended from associating with any FINRA member in all capacities for three months
and fined $5,000.
2026 Small Firm Conference
The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.