Last Updated: September 2025 – San Mateo, CA
Here’s what you need to know about San Mateo, CA, stockbroker John Kevin Barrett:
- Name: John Kevin Barrett.
- Current Employer: Barred from associating with any FINRA member in all capacities as of July 26, 2021.
- Prior Firms: Emerson Equity LLC (2008–2014; 2015–2021), Lincoln Financial Advisors Corporation (2014–2015), CUSO Financial Services, L.P. (2005–2008), A.G. Edwards & Sons, Inc. (2004), M.L. Stern & Co., LLC (2004).
- Other Business Affiliations: Barrett Wealth Management, Inc. (San Mateo, CA); Strategic Holdings, LLC (Exec. VP, Investor Relations, 2019–2020); Trivanta Net Lease (Senior Director, 2018–2019); Geffen Commercial Real Estate (Real Estate Agent, 2018).
- CRD number: 4748518.
- Stockbroker / Financial Advisor: Yes
- Can Broker be Sued in FINRA: Yes
- Sanctioned by Securities Regulators: Yes
- Discloses Outstanding Liens: Yes
- Highest Award or Settlement: $13,141 paid to a customer in 2007 (variable annuity fee-disclosure dispute; broker contributed $13,141).
- Current Customer Dispute Seeks Total Damages of: $100,000–$500,000
If you’ve sustained damages from Mr. Barrett, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With John Kevin Barrett As Your Stockbroker?
A pending FINRA arbitration filed March 2025 (FINRA Case No. 25-00599) alleges violation of common law fraud, breach of fiduciary duty, and negligence tied to REIT recommendations made while Mr. Barrett was associated with Emerson Equity LLC. The claim seeks an amount between $100,000 and $500,000, plus interest, costs, and fees.
In a separate written customer complaint received July 2025, a former customer alleges an unsuitable real-estate security investment made in 2017 while Mr. Barrett was at Emerson Equity LLC, seeking $166,056 in damages. This matter remains pending.
FINRA barred Barrett from the securities industry in 7/2021 for failing to cooperate with a regulatory investigation.
Barrett discloses 12 currently outstanding liens totaling hundreds of thousands of dollars owed to the Internal Revenue Service and the California Franchise Tax Board.
Allegations of Broker Misconduct Against John Kevin Barrett
- Unsuitable investment recommendations
- Breach of fiduciary duty / best-interest obligations
- Fraud / misrepresentation
- Negligence and failure to disclose fees
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of Emerson Equity Brokers
If you have suffered investment losses in an account handled by John Kevin Barrett, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.