BRADLEY CLAUS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRADLEY CLAUS (CRD No. 5127951), Respondent. Disciplinary Proceeding No. 2012033520801 Hearing Officer - Andrew H. Perkins AMENDED DEFAULT DECISION May 18, 2015 Respondent misrepresented material facts in connection with the sale of securities in emails he sent using an unapproved personal email account, in violation of FINRA Rule 2010. For these violations Respondent is barred
01/07/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bradley Claus (CRD No. 5127951), Respondent. DISCIPLINARY PROCEEDING No. 2012033520801 AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between September 2010 and April 2013 ("the relevant time period"), Claus participated in securities transactions by two firm customers and one non-firm customer without providing notice to and receiving approval from his member firm.
Reference 2012033520801data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5127951

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