February 2019- Orlando, FL
According to publicly available records Bradley T. Pace (CRD#2097427) , a stockbroker previously registered with LPL Financial, disclose a regulatory event and 2 prior customer disputes.
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 9/ 2018, Pace was suspended by FINRA to resolve allegations that he failed to respond for request for information in connection with a FINRA investigation. The suspension ended 9/6/2018.
In April 2007, a customer of Pace’s form employer, A.J. Pace & Co., Inc., alleged that certain investment recommendations were unsuitable. That case settled for $50,000.
Pace was employed with LPL Financial from 12/2011 to 10/2016. He previously was employed with A.J. Pace & Co., Inc. from 2001 until August of 2011. He is not currently registered with any broker dealer.
If you have questions about an investment account handled by Bradley Pace, contact us for a no charge consultation to learn about your legal options.
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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