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Brenton Bataille Was Recently Sanctioned by FINRA


Brenton Bataille

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that Colorado-based Spencer Edwards broker Brenton Bataille has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bataille (CRD# 2070777).

Brenton Bataille has spent 27 years in the securities industry and has been registered with Spencer Edwards in Centennial, Colorado since 1999. Previous registrations include Lumiere Securities in Denver, Colorado (1997-1998); Texas Capital Securities in Houston, Texas (1996-1997); RAF Financial Corporation in Denver, Colorado (1994-1996); and Hibbard Brown & Company in New York, New York (1990-1994). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 3, 1990, and Series 7 (General Securities Representative Examination), which he obtained on July 27, 1990. He is a registered broker with 19 US states and territories: Arizona, California, Colorado, Florida, Illinois, Iowa, Minnesota, Nebraska, Nevada, New Jersey, New York, Ohio, Oklahoma, Oregon, Pennsylvania, Texas, Virginia, Washington and Wyoming. He is registered with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

According to his BrokerCheck report, Brenton Bataille was recently sanctioned by FINRA. He has also received an unsatisfied judgment or lien.

In December 2017 FINRA sanctioned him in connection to allegations he recommended the purchases of convertible notes to a customer for whom he had no reasonable basis to conclude the investments were suitable. FINRA’s findings stated that at the time he recommended and sold the notes, “he had performed very minimal due diligence and did not know whether information provided by the issuer was accurate.” He allegedly recommended and sold the products before his firm’s due diligence process concluded and received $2,200 for the recommendation and sale of $50,000 of the notes in question. He was issued a fine of $5,000 and ordered to pay disgorgement of $2,200 and was issued a 10-day suspension.

In 2012 Investment Retrievers filed a civil judgment or lien totaling $11,283.94 against Brenton Bataille. The judgment or lien remains outstanding.

If you or someone you know has complaints regarding Brenton Bataille, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.