File a Complaint (Form)

Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from FINRA membership or other appropriate sanctions.

2021072406601 Bradley Thomas Wastler CRD 868378 AWC gg (2023-1693700406018).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072406601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bradley Thomas Wastler (Respondent) Former General Securities Principal and Representative CRD No. 868378 Pursuant to FINRA Rule 9216, Respondent Bradley Thomas Wastler submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076523201 Timothy James Breslin CRD 2981153 AWC gg (2023-1693700406015).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076523201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy James Breslin (Respondent) Former General Securities Representative and Former Investment Company and Variable Contracts Products Representative CRD No. 2981153 Pursuant to FINRA Rule 9216, Respondent Timothy Breslin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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