May 10, 2024 – An AWC was issued in which Bray was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Bray consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into a disclosure reflected in a Form U4 amendment filed by his member firm reporting that he was charged with a felony. (FINRA Case #2023080242101)
Harmed investors can call (954) 693-7577 or email [email protected] to discuss their legal options. All consultations are free and confidential. Most cases are handled on a contingency fee basis, meaning that clients are not obligated to pay attorney fees unless money is recovered on their behalf.