(CRD #5472965, Keyport, New Jersey)

November 19, 2025 – An AWC was issued in which Luis S. Jean-Bart was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 10 months. Without admitting or denying the findings, Jean-Bart consented to the sanctions and to the entry of findings that he failed to timely respond to FINRA’s requests for information and document in connection with its investigation into his alleged involvement in investments involving crypto assets away from his member firm. The findings stated that after Jean-Bart’s initial response did not provide all of the requested information and documents, FINRA sent additional requests for the missing information. However, Jean-Bart failed to provide all of the requested information and documents by the deadlines of those requests. Subsequently, FINRA issued a notice of suspension pursuant to FINRA Rule 9552 notifying Jean-Bart that he would be suspended from associating with any FINRA member unless he complied with the outstanding FINRA requests. After Jean-Bart failed to comply, FINRA suspended Jean-Bart, and notified him that if he did not provide the requested material and request the termination of his suspension, he would be barred from associating with any FINRA member. More than ten months after the original due date for his response, Jean-Bart supplemented his response and later requested termination of his suspension. After FINRA terminated Jean-Bart’s suspension and continued its investigation in this matter, FINRA learned of additional documents that Jean-Bart had failed to provide and sent another request to Jean-Bart seeking those documents. Jean-Bart provided the requested documents more than 15 months after the original due date for his response. The suspension is in effect from December 1, 2025, through September 30, 2026. (FINRA Case #2023080015803) If you have suffered losses as a result of Luis S. Jean-Bart's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Luis S. Jean-Bart. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at  (813) 226-3372 or email Matthew Schwartz directly at mschwartz@tslfirm.com.