Advisor Alert: Our Attorneys Are Investigating Joshua D Bradley For Investment Fraud
Did You Lose Money Because of Joshua Bradley?
Filed: January 30, 2024
Joshua Bradley currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) regulatory event, one (1) termination event, and one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Joshua D Bradley.
Who Is Joshua D Bradley?
- Advisor Name: Joshua D Bradley
- Aliases: Joshua Bradley
- CRD: 5174430
- Location: Columbia, South Carolina
- Current Employer: Currently Not Registered
- Previous Firms: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Voya Financial Advisors, Inc., and Gunnallen Financial, Inc.
- Number of Known Customer Complaints: 1
- Number of Known Regulatory Events: 1
- Number of Known Termination Events: 1
- Can Joshua Bradley Be Sued: Yes, in Private Arbitration
- Can Joshua Bradley’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $100,000
- Highest Settlement: Unknown
If you have suffered investment losses by Joshua Bradley, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Joshua Bradley For Broker Misconduct
As of this publication date, Joshua Bradley has been the subject of 1 regulatory event, 1 termination event, and 1 customer dispute. Let’s review them below.
In November 2023, a FINRA arbitration was filed against or in reference to Joshua Bradley by a customer of Sagepoint Financial, Inc. alleging that in June 2014, Mr. Bradley failed to disclose the illiquid nature and risks associated with a non-traded business development company. The claimant further alleges that the recommendation was unsuitable. a recommended exchange of a whole life insurance policy to a variable universal life policy constituted poor advice. Per the customer, he/she lost over $100,000 because of Mr. Bradley’s actions. As of this publication date, this claim remains pending.
In November 2017, FINRA initiated a regulatory action against or in reference to Joshua Bradley for allegedly placing eight trades in five customer accounts with a member firm he was no longer associated with, and failed to notify his employing firm of these discretionary accounts.
In February 2016, Merrill Lynch, Pierce, Fenner & Smith Incorporated terminated Joshua Bradley for conduct involving improperly accessing and placing trades in client accounts at the registered representative’s previous firm and failure to be forthcoming during the Firm’s review of this matter.
How To File A Claim Against Joshua Bradley (previously with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Voya Financial Advisors, Inc., and Gunnallen Financial, Inc.) To Get Your Money Back
If you have questions about Joshua Bradley, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Voya Financial Advisors, Inc., Gunnallen Financial, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.