Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Bradley (Bradley), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Bradley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on November 15, 2023.
Claimant alleges that, in June 2014, the representative failed to disclose the illiquid nature and risks associated with a non-traded business development company. Claimant further alleges that the recommendation was unsuitable.