Bradley Reifler – Financial Advisor/Broker Bradley Reifler Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Bradley Reifler CRD #1589414
Bradley Reifler is was a formerly licensed financial advisor with Wilmington Capital Securities, LLC and Forefront Capital Markets LLC. According to FINRA, Bradley Reifler was barred from the securities industry.
According to FINRA:
Bradley Reifler was named a respondent in a FINRA complaint alleging that Bradley Reifler failed to comply with Bradley Reifler’s obligation to provide full and complete testimony be refusing to answer questions asked by FINRA during on-the-record testimony. The complaint alleges that FINRA conducted an investigation into a closed-end mutual fund that Bradley Reifler created while associated with Bradley Reifler’s member firm. The closed-end mutual fund was marketed as a high-yield fund that would provide non-accredited investors access to those investment opportunities previously reserved for the one percent. FINRA began an investigation of the closed-end mutual fund in order to determine, among other things, whether FINRA member firms or persons associated with FINRA member firms (collectively FINRA Members) had solicited and executed the closed-end mutual fund investments, whether FINRA Members had performed due diligence on the closed-end mutual fund, and whether FINRA Members had determined the suitability of the closed-end mutual fund investments for investors. The complaint also alleges that as part of the investigation, FINRA requested that Bradley Reifler appear for on-the-record testimonies. While Reifler appeared for testimony, he refused to answer many questions asked by FINRA relating to Bradley Reifler’s involvement in the closed-end mutual fund and the use of closed-end mutual fund investors’ money.
Bradley Reifler appealed the Hearing Panel decision issued on August 7, 2018. The Hearing Panel found that Bradley Reifler violated FINRA Rules 8210 and 2010 because he refused to answer questions during two on-the record interviews with FINRA staff. The Hearing Panel barred Bradley Reifler for his refusal to respond.
As part of an investigation into whether Bradley Reifler engaged in misconduct, FINRA investigators requested that Bradley Reifler provide on-the-record (“OTR”) testimony pursuant to FINRA Rule 8210. Bradley Reifler’s refusal to answer dozens of questions posed by the investigators violated FINRA’s rules. After an independent review of the record, we affirm the Hearing Panel’s findings, and the sanction that it imposed.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Bradley Reifler and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Bradley Reifler’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Bradley Reifler and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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