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R. Barry Jones Has Received a FINRA Sanction

R. Barry Jones

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that former Florida-based Merrill Lynch broker/adviser R. Barry Jones has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jones (CRD# 2296192).

R. Barry Jones has spent 23 years in the securities industry and was most recently registered with Merrill Lynch in Saint Augustine, Florida (2009-2016). Previous registrations include Banc of America Investment Services in Alpharetta, Georgia (2004-2009); Quick & Reilly in New York, New York (2002-2004); Morgan Keegan & Company in Memphis, Tennessee (2001-2002); Wachovia Securities in Charlotte, North Carolina (1996-2001); Merrill Lynch in New York, New York (1994-1996); and Guardian Investor Services Corporation in New York, New York (1993-1994). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 24, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 18, 1992; Series 7 (General Securities Representative Examination), which he obtained on February 9, 1994; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 4, 1993. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and three customer complaints.

In October 2017 FINRA sanctioned him following allegations he failed to respond to a request for information. He was suspended from associating with any FINRA member in all capacities “until required information is provided to FINRA or the suspension converts to a bar.”

In August 2016 he voluntarily resigned from his position at Merrill Lynch following allegations he exercised discretion in non-discretionary customer accounts.

In 2016 a customer alleged R. Barry Jones, while employed at Merrill Lynch, executed unauthorized trades from March 2007 through March 2016. The complaint settled for $80,000.

In 2013 a customer alleged R. Barry Jones, while employed at Merrill Lynch and Banc of America Investment Services, misrepresented and omitted material facts related to unsuitable investment recommendations. The complaint settled for $125,000.

In 2007 a customer alleged R. Barry Jones, while employed at Banc of America Investment Services, recommended unsuitable investments. The complaint settled for more than $31,600.

If you or someone you know has lost money investing with R. Barry Jones, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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