Bradley S. Lay (also known as Brad Lay), of Franklin, Tennessee, a stockbroker registered with Raymond James Associates Inc., is the subject of an investigation initiated by Tennessee Department of Commerce and Insurance on March 29, 2022, into allegations that Lay failed to disclose a prior regulatory enforcement action. Financial Industry Regulatory Authority (FINRA) Public…
Bradley S. Lay (also known as Brad Lay), of Columbia, Tennessee, a stockbroker formerly registered with Raymond James Associates Inc., has been fined $7,500.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Lay engaged in unauthorized trading of customer accounts while…