OTIS TREAT BRADLEY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. OTIS TREAT BRADLEY (CRD No. 28320), Respondent. Disciplinary Proceeding No. 2013035928002 Hearing Officer-AHP DEFAULT DECISION September 16, 2015 Respondent failed to appear to complete his on-the-record testimony. For this violation, he is barred in all capacities. Respondent also violated the content standards applicable to member communications with the public. In light of the
04/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Otis Treat Bradley (CRD No. 28320), Respondent. DISCIPLINARY PROCEEDING No. 2013035928002 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY Between August 1, 2012 and January 10, 2013 (the "relevant period"), Respondent Otis T. Bradley ("Bradley"), an equity research analyst with Gilford Securities, Inc. ("Gilford Securities" or the
Reference 2013035928002data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 28320 |
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