Henley & Company LLC

There are Recent Customer Complaints with Broker Barbaraann Bernatzky in Firm Henley & Company LLC

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbaraann Bernatzky (Bernatzky), previously associated with Henley & Company LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Bernatzky recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 23, 2022.

Without admitting or denying the findings, Bernatzky consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony requested by FINRA in connection with its investigation regarding potential misconduct that occurred her member firm’s branch office.

There are Recent Customer Complaints with Broker Barbaraann Bernatzky in Firm Henley & Company LLC

November 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbaraann Bernatzky (Bernatzky), previously associated with Henley & Company LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Bernatzky recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 23, 2022.

Without admitting or denying the findings, Bernatzky consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony requested by FINRA in connection with its investigation regarding potential misconduct that occurred her member firm’s branch office.

There are Recent Customer Complaints with Broker Philip Incorvia in Firm Henley & Company LLC

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Incorvia (Incorvia), previously associated with Henley & Company LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Incorvia recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,276,996.00 on October 05, 2022.

CLAIMANTS ALLEGE RESPONDENTS FAILED TO PROVIDE REASONABLE, ADEQUATE AND MEANINGFUL SUPERVISION OVER PHILIP INCORVIA’S BRANCH OFFICE AND ACTIONS IN MATTERS OF INVESTMENT SUTABILITY, BREACH OF FIDUCIARY DUTY, AND FRAUD