November 2018-Sugarland, TX
According to publicly available records Bradley Allen Bowman , (CRD# 2898756) , a stockbroker currently employed by LPL Finanical who was previously registered with Cetera Investment Services, disclose a pending $400,000 customer dispute .
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 January of 2018, a customer of Cetera Investment Services, filed FINRA case #18-0177 alleging that Bowman did nothing to mitigate the collapse of their portfolios. The customer is seeking damages of $400,000 in this pending matter.
Bowman was employed by Cetera Investment Services from April 2009 until October 2016. He has been employed by LPL Financial Services since 10/2016. Bowman discloses a business affiliation with Intrua Financial in Houston, TX.
If you have losses in an account in an account handled by Bradley Allen Bowman, contact us for a no charge consultation to learn how you may be able to recover damages from his 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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