JOEL BARRETT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. JOEL BARRETT (CRD# #5441006) RESPONDENT. DISCIPLINARY PROCEEDING NO. 2008014006701 COMPLAINT The Department of Enforcement alleges: RESPONDENT 1. Barrett was employed as a Personal Banker with JP Morgan Chase Bank, N.A., (the "Bank") from October 10, 2007 through June 6, 2008. During this period, Barrett was registered with FINRA and held both Series 6 and Series 63
04/01/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOEL BARRETT (CRD No. 5441006), Respondent. Disciplinary Proceeding No.2008014006701 Hearing Officer-LBB DEFAULT DECISION April 1, 2010 Respondent Joel Barrett is barred from associating with any member firm for misappropriation of funds and forgery, in violation of NASD Conduct Rule 2110. He is also barred for failure to provide information and failure to appear and
Reference 2008014006701data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5441006

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