Jack Bailey, Bailey & Company Broker, Investigated by FINRA

Jack Bailey (CRD# 5708044[1]), a broker registered with Bailey & Company Securities, failed to disclose private securities transactions, according to a FINRA investigation. MDF Law is investigating the Brentwood, Tennessee-based financial professional for similar conduct. Current or former clients with concerns about their accounts should call us for a free, confidential consultation. 

To learn more about Mr. Bailey’s history as a broker, continue reading this post. The information below is based on a December 6, 2024 review of his BrokerCheck record, a Financial Industry Regulatory Authority profile.

FINRA Recommends Disciplinary Action

On October 24, 2024, FINRA disclosed its probe into whether Mr. Bailey violated industry rules. The inquiry reached a determination to recommend disciplinary action, according to his BrokerCheck profile. Such an action would detail allegations that he breached FINRA Rules 2010 and 3280 by failing to properly disclose private securities transactions. The former of these two rules requires brokers to observe high standards of commercial honor. The latter forbids private securities transactions, except under certain circumstances.

According to a “Broker Comment” appended to the disclosure, Mr. Bailey “is cooperating with the investigation” by FINRA. This comment adds that the regulator has not made any “final determination” yet.

What Are Jack Bailey’s Business Activities?

As his BrokerCheck record reflects, Mr. Bailey has disclosed several “other business activities” beyond his registration with Bailey & Company. These include:

• Bailey GP I, LLC and Bailey GP II, LLC, funds for which he serves as a general partner. He receives compensation for these activities “via carried interest via affiliated entities” known as BSC CPF SLP I, LLC and BSC CPF SLP II, LLC. He is a partial owner of these funds, according to his BrokerCheck profile.
• Bailey Management Services, a firm that receives a management fee from the “Bailey Funds.” He is the owner of this entity.
• Bailey Holdings, which wholly owns Bailey Management Services and partially owns Bailey & Company. He is the owner of this entity.
• Bailey Advisory, a subsidiary of Bailey & Company. He is the Managing Director of this entity.

Bailey & Company’s Focus, Philosophy

According to his BrokerCheck profile, Mr. Bailey is a registered representative of Bailey & Company Securities. As the firm’s website[2] reflects, he is its co-founder and managing director. He founded the company “vision for a truly client-first investment bank, primarily focused on middle-market healthcare,” his professional biography asserts. “Today, Bailey & Company delivers on that promise, achieving exemplary client outcomes through senior-led transaction teams, deep sector expertise, and meaningful industry relationships.”

FINRA: Broker Based in Brentwood, Tennessee

Mr. Bailey launched his career as a broker in 2009, when he registered with Burch & Company. He remained at the firm until 2012, eventually joining Stillpoint Capital in 2014. In 2019, he registered with Bailey & Company’s office in Brentwood, Tennessee. He has remained at the firm since. Boasting 13 years of experience as a broker, he has completed four industry exams, including the Series 24 and the Series 62. 

Fraud Concerns? Call MDF Law Today

If you lost money working with Jack Bailey, you may be qualified to file a FINRA arbitration claim for damages. Call MDF Law to chat with one of our broker fraud attorneys[3] for free. We accept cases on a contingency basis, which means we only receive a fee if our clients recover losses—no hourly fees. Call 800-767-8040 for a free consultation with our team today.