FINRA barred securities broker Anthony Richard Bottini III (also known as Rick Bottini) [CRD: 5567091, New York, New York], and investors complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Bottini worked for Merrill Lynch from July 22, 2011, to May 22, 2025. Investors should continue reading to find out more about the disclosures involving this securities broker.
Evidently, on May 5, 2025, FINRA issued Case: 2023080671401 sanctioning Anthony Bottini. Specifically, Bottini was barred from associating with any FINRA member in all capacities following an indefinite suspension. Notably, FINRA alleged that Bottini failed to respond to FINRA requests for information.
According to the regulatory disclosure, FINRA initiated the action on January 30, 2025, after Bottini did not provide requested information during a regulatory inquiry. As a result, FINRA issued a notice of suspension. Bottini did not request termination of the suspension within the required three-month period, which led to an automatic bar from association with any FINRA member firm.
The matter was resolved by letter on May 5, 2025. The bar applies to all capacities and remains in effect indefinitely.
Notably, a client filed a complaint about Anthony Bottini. Primarily, the client alleged that Bottini engaged in unauthorized trading. For this reason, the client allegedly sustained damages connected to CDs. Therefore, on November 15, 2023, Merrill Lynch settled this matter by paying the client $40,269.41 in damages.
Specifically, a client of Merrill Lynch contested Anthony Bottini’s sales practices, according to a complaint. Allegedly, Bottini made misrepresentations and made unsuitable recommendations. It appears that Bottini allegedly caused the client to experience damages relating to money market funds and CDs. As a result, Merrill Lynch opted to settle the matter on May 20, 2021, by paying the client $6,006.67.
Did you experience losses because of Anthony Bottini? You can contact Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee arrangement and advances all costs. Bottini and brokerage firms Bottini worked for deny accusations of sales practice violations.
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