Brandon Carl Rudolph, Ex-Broker, Barred During Investigation into His Possible Private Securities Transaction
Adam J. Marquardt
May 10, 2018
On May 9, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred Brandon Carl Rudolph from associating in any capacity with firms registered with FINRA. FINRA registers and regulates securities brokers and brokerage firms. FINRA announced the bar in a Letter of Acceptance, Waiver and Consent (AWC). In the AWC, FINRA said it barred Rudolph
