According to a Disciplinary Proceeding with the Financial Industry Regulatory Authority (FINRA), Brant Ray improperly borrowed $50,000 from a customer in March 2014. He then falsely certified in an annual compliance questionnaire that he was in compliance with his firm’s prohibition against borrowing from customers. He then provided false information about the customer loan in response to questions raised by FINRA staff. This is against securities rules and regulations. Mr. Ray was previously registered with Edward Jones in Southaven, Mississippi from March 2004 until February 2010, Wells Fargo Advisors in Germantown, Tennessee from February 2010 until May 2013, Commonwealth Financial Network in Southaven from May 2013 until April 2014 and Cetera Advisors in Southaven from April 2014 until December 2016. He is currently not registered within the industry, according to his FINRA BrokerCheck report. Please call 312-332-4200 today if you suffered losses with Mr. Ray. We may be able to help you file an arbitration claim against his former firm, Cetera Advisors, in the FINRA forum on a contingency fee basis. The call is free with no obligation.
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