Where an individual does not have a BrokerCheck record, a record of the bar can be found in the summary in the FINRA Monthly Disciplinary Action Report. For more complete information, please consult BrokerCheck. Individuals who have been barred by FINRA as a result of a disciplinary decision or expedited proceeding will not appear on this list until the decision becomes a final FINRA action and the time period provided for an appeal permitted under the Exchange Act has expired. Facebook gives people the power to share and makes the world more open and connected. This list includes individuals who were barred by FINRA as of June 30, 2022. Join Facebook to connect with Brad Hightower and others you may know.
Where indicated, individuals on this list have appealed FINRA's final action to the SEC or, in the case of a final order of the SEC sustaining FINRA's action, to the courts thus, the findings and sanctions of FINRA in those instances are subject to review and modification by the SEC or the courts. The list comprises individuals who were associated with a FINRA registered firm on or after FINRA launched Web CRD on August 16, 1999. On the courts, he’s a competitive tennis player who has ranked among the top five tennis players in the state of Alabama in his division. The individuals listed below have a FINRA bar in effect, which means FINRA has permanently prohibited them from association with any member in any capacity. Brad Hightower is as competitive in shorts and sneakers as he is in a suit and tie. Note to File is a podcast for clinical research sites - interviews, best practices, and candid commentary from Brad Hightower, founder of Hightower Clinical and clinical research professional.
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