JOSEPH E BARNAS

JOSEPH E BARNAS is currently employed as a Broker and/or Investment Adviser at CAPITAL ONE INVESTING, LLC located at 215 W 34th St, New York, NY, 10001.

JOSEPH E BARNAS has worked at CAPITAL ONE INVESTING, LLC since January 02, 2015

Disclosure History

JOSEPH E BARNAS has 8 Disclosure Event(s).

Date: July 10, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: June 29, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: June 26, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: June 21, 2012
Category: Regulatory

Date: June 18, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: June 16, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: June 15, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: June 13, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for JOSEPH E BARNAS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.