Wesley James Bradish (CRD #4595880) Has Criminal and Employment Separation Disclosures on FINRA BrokerCheck
Wesley James Bradish (CRD #4595880) has been the subject of disclosure events, which have recently been reported on his FINRA BrokerCheck Report. According to Wesley James Bradish’s FINRA BrokerCheck report accessed on January 20, 2026, Wesley James Bradish has been the subject of one criminal disclosure and one employment separation. If you invested with Wesley James Bradish and you have concerns about his activity, keep reading.
BrokerCheck link: BrokerCheck
BrokerCheck report: BrokerCheck Report (PDF)
Employment Separation
Wesley Bradish FINRA BrokerCheck Report reflects one employment separation disclosure. A summary of the disclosure is below:
On November 18, 2025, B.C. Ziegler and Company disclosed that Wesley Bradish was discharged. The allegations listed on the disclosure are Violation of company policy. The product type listed is No Product.
Criminal Charges
Wesley Bradish FINRA BrokerCheck Report reflects one criminal disclosure. A summary of the disclosure is below:
According to the disclosure, on July 9, 2025, formal charges were brought in state court. The matter is pending in the Fourth Judicial Court of Florida in Nassau County, Florida (case number 2025MM000368). The charge listed is 90136A, Giving False Name or Identification, S901.36(1), M1, reported as a misdemeanor.
Rule summary #1: FINRA Rule 4530 (Reporting Requirements)
FINRA Rule 4530 sets reporting requirements for member firms, including obligations to report certain events and to file copies of specified criminal actions with FINRA.
Rule summary #2: FINRA Rule 1010(e) (Form U5 Filing Requirements)
FINRA Rule 1010(e) requires initial filings and amendments of Form U5 to be submitted electronically and sets related recordkeeping requirements. This framework supports the integrity and accessibility of termination information that appears in CRD and BrokerCheck.
Why this matters to investors (Regulation Best Interest)
Regulation Best Interest (Reg BI) is a U.S. securities regulation designed to strengthen the standard of conduct that broker-dealers owe to retail investors when making recommendations about securities transactions or investment strategies. Adopted by the U.S. Securities and Exchange Commission and effective as of June 30, 2020, Reg BI aims to enhance investor protection while preserving investor access to brokerage products and services.
Reg BI requires broker-dealers and financial advisors to act in the best interest of the retail customer at the time a recommendation is made, and not to place their own financial or other interests ahead of the customer’s. This represents a higher standard than the historical “suitability” requirement, which only required that recommendations be suitable, not necessarily optimal or conflict-free.
Reg BI is built around four key obligations:
- Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and recommendations, including fees, scope of services, and conflicts of interest.
- Care Obligation – Recommendations must be made with reasonable diligence, care, and skill, considering costs, risks, and alternatives.
- Conflict of Interest Obligation – Firms must identify, disclose, and mitigate or eliminate conflicts, particularly those that create incentives to favor one product over another.
- Compliance Obligation – Firms must establish policies and procedures designed to ensure compliance with Reg BI as a whole.
Importantly, Reg BI applies at the recommendation level, not as a continuous duty like the fiduciary standard applicable to registered investment advisers. Still, it significantly narrows the gap by emphasizing cost considerations, conflict management, and investor-focused decision-making.
Overall, Regulation Best Interest seeks to promote transparency, improve the quality of investment recommendations, and reinforce trust between retail investors and broker-dealers in the U.S. securities markets.
Background Information (from BrokerCheck)
- Is not currently registered.
- Has passed the Securities Industry Essentials (SIE), Series 7, Series 52TO, Series 79TO, and Series 63 exams.
- Was previously registered with firms that include B.C. Ziegler and Company and RBC Capital Markets, LLC.
Kurta Law Can Help
If you have worked with Wesley Bradish and you have concerns about his activity, Kurta Law may be able to help. Contact our team at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
Helpful resources: Form U5 | Securities Fraud
For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. If you believe misconduct may have contributed to your losses, our team can help you evaluate your options and pursue recovery. Do not let potential securities fraud go unchecked. Start your recovery process today.