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FINRA Suspends Anthony Bottini for Alleged Failure to Provide Information

Anthony Bottini (CRD #: 5567091), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, has been suspended by FINRA, according to his BrokerCheck record, accessed on April 15, 2025. If you have questions about his alleged conduct as a broker, read on.

FINRA Suspension

On January 30, 2025, Anthony Bottini received a Letter of Suspension from FINRA alleging that he failed to respond to requests for information. His suspension took effect on February 24, 2025, and will continue until the requested information is provided or the suspension converts to a bar.

FINRA Rule 9552

FINRA Rule 9552 states that members who fail to provide documents, information, or testimony requested by FINRA will be suspended. Members who fail to request an end to their suspension within three months are permanently barred.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Anthony Bottini has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Combined State Law Examination – Series 66

Anthony Bottini is a registered broker in 31 states and the District of Columbia. He is also a registered investment adviser in Connecticut, New Jersey, New York, and Texas.

Kurta Law Can Help

If you worked with Anthony Bottini and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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