FINRA Suspends and Fines Brenton L. Bataille

(FINRA Case #2014041862704)  Brenton Louis Bataille (CRD #2070777, Englewood, Colorado) – An AWC (Accept, Waiver & Consent) was issued in which Bataille was fined $5,000, suspended from association with any FINRA member in all capacities for 10 business days, and required to pay $2,200, plus interest, in disgorgement of commissions received. Without admitting or denying the findings, Bataille consented to the sanctions and to the entry of findings that he recommended the purchases of convertible notes without a reasonable basis to conclude they were suitable for any investor. Continue reading

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