Bradley Morgan Holts of Denver, Colorado, a stockbroker formerly registered with World Capital Brokerage, has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon allegations that Holts failed to respond to the regulator’s request for information. FINRA Case No. 2021071760601 (July 28, 2021).
FINRA Public Disclosure reveals that the regulator sought information from Holts during the time that he was associated with World Capital Brokerage Inc. The securities broker dealer notified FINRA that it discharged Holts on July 15, 2021, based upon his failure to respond to FINRA’s request.
According to FINRA Public Disclosure, Holts was sent a Notice of Suspension letter on July 28, 2021, and a Suspension from Association letter on August 23, 2021. FINRA provided Holts until October 31, 2021, to either respond to its request or ask that the suspension be lifted. Holts did not respond by the regulator’s deadline, resulting in an automatic bar.
Holts was associated with World Capital Brokerage from 2020 to 2021. In 2020, he was associated with Supreme Alliance LLC. He was also associated with Capital One Investing from 2015 to 2018.
