August 2016- New York
The FINRA records of William K. Bradley, a stock broker who is currently employed by Meyers Associates, disclose a currently pending customer dispute and a prior termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In currently pending FINRA arbitration 16-0441, a customer of Bradley’s former employer HFP Capital Markets, alleges damages of $30,236 for unsuitable investments.
In 12/2011, Bradley was discharged by HFP Capital Markets who made the following statement on Bradley’s FINRA record: “William Bradley was discharged due to the fact that he, by his own admission, was caught selling proprietary assets of the firm without authorization. When Mr. Bradley was approached by the branch office manager and a second broker he admitted to selling leads to a person outside the firm.”
Bradley’s prior employment history includes:
- Meyers Associates since 3/2016
- Newbridge Securities 11/2015-3/2016
- Craig Scott Capital 2/2012-12/2015
He also worked for Brookstone Securities and HFP Capital Markets. Both firms have been expelled by FINRA.
If you have losses in an account handled or supervised by William K. Bradley you may be able to recover damages from his former employer through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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