Category Archives: ICM Capital Markets

Otis Bradley-Former Gilford Securities Broker Barred From Securities Industry

UPDATE-In October 2015, Otis Bradley was permanently barred from the securities industry by FINRA.

Original Post–April 27, 2015

Otis T. Bradley, was named in a complaint filed by FINRA alleging that he authorized research reports containing false, misleading and unwarranted statements concerning  a publicly traded pharmaceutical company.

The complaint alleges that in the research reports, Bradley falsely claimed that a prominent medical research university was conducting clinical trials on humans to study the effects of one of the company’s dietary supplements on thyroid disorders.

The complaint also alleges that Bradley failed to appear for on the record testimony requested by FINRA in connection with the investigation.

According to FINRA records, Bradley is not currently registered. He was previously registered with Gilford Securities from 2/2012-10/2014. Prior to that he was registered with ICM Capital Markets.

Disciplinary Proceeding 2013035928002

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