Archives for Sr. Miami

Miami Florida Broker Joseph N. Barnes Fined and Suspended by FINRA

According to FINRA’s Disciplinary and Other FINRA Actions publication, Joseph N. Barnes, Sr. of Miami Florida (CRD # 5603198) is suspended from associating with any member firm in any capacity for six months for failing to timely disclose his bankruptcy petitions on his Form U4, in willful violation of FINRA By-Laws and FINRA Rules. Barnes was also fined $5,000.

According to FINRA’s Broker Check, Joseph N. Barnes, Sr. was registered with the securities industry for six (6) years, and was registered with the following firm(s):

IFS Securities
CRD# 40375
Miami Lakes, FL
10/2013 – 7/2014

Blaylock Robert Van, LLC
CRD# 145317
New York, NY
02/2010 – 09/2013

Grisby & Associtate, Inc.
CRD# 13364
New York, NY
01/2010 – 02/2010

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Categories: Broker Investigations.