Jeff Bailey: FINRA Investigates Bailey & Company Advisor

Brentwood, Tennessee financial advisor Jeff Bailey (CRD# 3171436) is under investigation in connection with an alleged failure to disclose private securities transactions. Financial Industry Regulatory Authority records show that he is registered as a broker with Bailey & Company, having previously been registered with Stillpoint Capital.

Mr. Bailey’s BrokerCheck report discloses the investigation into his conduct. Filed in October 2024, it states that FINRA made a preliminary determination to recommend disciplinary action against him. The action would allege that he violated FINRA Rules 3280 and 2010 by failing to disclose private securities transactions. The investigation remains pending.

Investors should be aware that FINRA Rule 3280 requires brokers like Mr. Bailey to provide their firms with prior written notice before participating in private securities transactions. Under this rule, they must also receive approval from the firm. FINRA Rule 2010, meanwhile, requires associated persons to abide by “high standards of commercial honor and just and equitable principles of trade” in the course of their business. Brokers who violate these rules may be held liable for damages and/or subject to disciplinary action.

Bailey & Company’s website includes a profile of Mr. Bailey that describes his experience as the firm’s co-founder and Managing Director. “With nearly 25 years of middle market investment banking experience, Jeff brings unmatched transaction expertise that make all the difference for our partners in the healthcare and tech-enabled services sectors,” it explains. “Jeff has worked on over 50 sell-side, buy-side, and financing transactions for both public and private companies over the course of his career, generating more than $3 billion in transaction value.”

According to the Financial Industry Regulatory Authority, Jeff Bailey holds 14 years of securities industry experience. Based in Brentwood, Tennessee, he has been registered as a broker with Bailey & Company since 2019. His past registrations include Stillpoint Capital (2012-2020) and Burch & Company (2009-2012). His credentials include the passage of five securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Corporate Securities Limited Representative Examination, or Series 62; the Securities Industry Essentials Examination, or SIE; the Investment Banking Registered Representative Examination, or Series 79TO; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in California, Colorado, Connecticut, Florida, Kansas, Massachusetts, Nevada, New Jersey, North Carolina, Pennsylvania, South Dakota, Tennessee, Virginia, and Washington. (Information current as of November 12, 2024.)

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