Brant Andrew Ray, of Southhaven, Mississippi, a stockbroker formerly registered with Commonwealth Financial Network, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected an unapproved loan transaction and lied about it when questioned by his firm and…
Brant Andrew Ray, of Southaven, Mississippi, a stockbroker formerly registered with Commonwealth Financial Network, has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Ray engaged in an unauthorized borrowing arrangement with a customer of the firm. Department of Enforcement v. Brant Andrew Ray, No. 2015047096601 (May 1,…