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Stacee Bradley Suspended by FINRA

Nov 21, 2022 FINRA Suspension

Stacee Bradley (CRD #: 7320122), a broker formerly registered with Morgan Stanley, has been suspended by FINRA, according to her BrokerCheck record, accessed on November 6, 2022. Keep reading if you have questions about her conduct as a broker.

Suspension by FINRA

On October 4, 2022, Stacee Bradley consented to the entry of findings that she allegedly failed to disclose her felony charges on her Uniform Application for Securities Industry Registration or Transfer (Form U4).

According to a Letter of Acceptance, Waiver & Consent (AWC), Stacee Bradley was allegedly charged with two felonies on September 8, 2018. On a Form U4 filed on February 25, 2021, Stacee Bradley allegedly responded “No” to Disclosure Question 14A(1), which asked, among other things: “Have you ever… (b) been charged with any felony?”

In doing so, Stacee Bradley allegedly filed inaccurate and misleading information with FINRA and did not disclose these felony charges until September 3, 2021.

The AWC concludes that these allegations constitute violations of Article V, Section 2(a) of FINRA’s By-Laws, and FINRA Rules 1122 and 2010.

Article V, Section 2(a) of FINRA’s By-Laws

Article V, Section 2(a) of FINRA’s By-Laws requires applicants to supply any information requested by their application.

FINRA Rules 1122 and 2010

FINRA Rule 1122 prohibits members from filing inaccurate or misleading registration information and requires them to correct their documentation promptly.

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

Sanctions

Stacee Bradley consented to the following sanctions:

  • $5,000 fine
  • 6-month suspension

Her suspension began on October 17, 2022, and will end on April 16, 2023.

You can read the full AWC here.

Criminal Charges

On August 6, 2021, Stacee Bradley was charged with grand larceny. This charge is pending.

On September 8, 2018, a final disposition merged and discharged several criminal charges.

Background Information

Stacee Bradley has passed the following exams:

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

She previously worked for Morgan Stanley (CRD#:149777).

Kurta Law Can Help

If you worked with Stacee Bradley 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 and 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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