Bradley Thomas Badger - Boca Raton, Florida Account Executive Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney
Luciano Andres Battioli - Boca Raton, Florida Account Executive Conversion and Theft FINRA Arbitration and Litigation Attorney
South Florida AML Red Flag FINRA Enforcement Defense Attorney:
The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.