Tag Archives: Brant Andrew Ray

Commonwealth Financial Broker Fined For Unauthorized Loans

October 03, 2017  |   Posted by :   |   Customer Loans   |   0 Comments

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 […]

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Commonwealth Financial Network Stockbroker Charged By Regulators

May 18, 2017  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

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, […]

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