BRADLEY CARL REIFLER

01/21/2022: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 94026 / January 21, 2022 Admin. Proc. File No. 3-19589 In the Matter of the Application of BRADLEY C. REIFLER For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION—REVIEW OF DISCIPLINARY PROCEEDING Registered securities association found that a person formerly associated with a member firm failed to respond to its requests for information at two on-the-record

09/26/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bradley C. Reifler (CRD No. 1589414), Respondent. DISCIPLINARY PROCEEDING No. 2016050924601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Bradley C. Reifler failed to comply with his obligation to provide full and complete testimony under FINRA Rule 82510 by refusing to answer questions asked by FINRA staff during on-the-record

09/30/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Bradley C. Reifler New York, NY, Respondent. DECISION Complaint No. 2016050924601 Dated: September 30, 2019 Respondent failed to respond to FINRA information requests. Held, findings and sanctions affirmed. Appearances For the Complainant: Matthew M. Ryan, Esq., Leo F. Orenstein, Esq.,

08/07/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. BRADLEY C. REIFLER (CRD No. 1589414), Respondent. Disciplinary Proceeding No. 2016050924601 Hearing Officer-RES HEARING PANEL DECISION August 7, 2018 Respondent is barred from associating with any FINRA member firm in any capacity, for refusing to answer questions in two sessions of on-the-record testimony.

Reference 2016050924601data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

01/17/2023: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Bradley C. Reifler Millbrook, NY, Respondent. DECISION Complaint No. 2016050924601r Dated: January 17, 2023 On remand from the Securities and Exchange Commission for redetermination of sanctions. Held, sanctions reaffirmed. Appearances For the Complainant: Jennifer L. Crawford, Esq., Megan P. Davis, Esq., Matthew Ryan, Esq., Kevin Hartzell, Esq., Lisa Colone, Esq., Department of Enforcement

Reference 2016050924601rdata-portal.finra.orgfinra.org