The Financial Industry Regulatory Authority (FINRA) imposed the bar after Bottini failed to provide information requested during a regulatory inquiry. Cooperation with FINRA is a fundamental requirement for all registered brokers and advisors. Failing to respond to their requests typically leads to a permanent ban from acting as a broker or investment advisor.
Bottini’s regulatory record also includes two recent investor disputes. In 2021 an investor accused Bottini of misrepresenting an investment and recommending unsuitable long-term certificates of deposit, which the client subsequently purchased. The dispute was settled, and the investor received $6,006.67 in compensation. In 2023 another investor alleged unauthorized trading in their account by Bottini between June 2022 and August 2023. This claim was settled for $40,269.41.
These actions highlight the importance of transparency, honesty, and strict adherence to industry regulations among financial professionals. Investors who believe they were harmed by the actions of Anthony Richard Bottini III or have questions about their investments are encouraged to contact Silver Law Group for a confidential evaluation of their situation.
Investors need to be very careful of who we trust and give access to our money. Broker Backgrounds Are Public – Investors can review a broker’s employment history, licensing status, and past disputes through FINRA’s BrokerCheck database an important step when deciding whom to trust with investments.
Did You Invest with Anthony Richard Bottini III?
Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases are handled on a contingent fee basis, meaning that you won’t owe us until we recover your money for you. Contact us today at (800) 975-4345 and let us know how we can help.