Bradley Joseph Tennison Barred from Association with FINRA Members in all Capacities

“Bradley Joseph Tennison (CRD #1561988, Gilbert, Arizona) July 2, 2018 – An AWC was issued in which Tennison was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Tennison consented to the sanction and to the entry of findings that after initially cooperating with FINRA’s investigation, he refused to appear and provide on-the-record testimony related to allegations that he recommended a $300,000 investment away from his member firm to a former firm customer. (FINRA Case #2018058302101)”

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Financial Industry Regulatory Authority, Inc. (FINRA) is an independent, non-governmental regulator who oversees the people and firms that sell stocks, bonds, mutual funds and other securities to the public in the United States. They are authorized by Congress to protect investors. They do this by making sure the securities industry operates fairly and honestly with the public.