Brad Brooks, Pending FINRA Complaint Involving Financial Advisor

Goodman and Nekvasil May Recover Investors Losses | Brad Brooks, Pending FINRA Complaint Involving Financial Advisor 

Brad Brooks, Brad Curtis Brooks CRD #1584633

Reported by FINRA on October 17, 2016, Brad Brooks, was named a respondent in a FINRA complaint alleging that Brad Brooks member firm, acting through him, failed to adequately supervise a registered representative’s outside business activities (OBA).

FINRA reports Brad Brooks identified red flags indicating that a representative was possibly engaged in an undisclosed OBA in connection with the company. Brad Brooks subsequently requested that he provide a written explanation of his activities concerning a company for which he made misrepresentations to prospective investors in connection with his promotion of the company that he was involved in speculative real estate investments. His written explanation raised several “reg flags” that should have prompted the firm and Brad Brooks to investigate further. However, the firm and Brad Brooks did not conduct any additional investigation. The complaint remains pending.

FINRA’S Broker Check states that Brad Brooks reported a FINRA arbitration claim has been filed on October 27, 2017, alleging failure to supervise. The alleged damages are $300,000. Brad Brooks also reported that a FINRA arbitration claim was settled on October 10, 2018, that alleged failure to supervise. This dispute was settled for $9,850.

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.

Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 million dollars on behalf of victimized investors.  We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.  All our cases are handled on a purely contingency fee basis.

There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf. Finally, the filing of such a case should not affect your ownership of these investments in any way.

If you incurred losses on your investment with Brad Curtis Brooks, you may be able to recover your losses from Titan Securities. This is because Titan Securities had a duty to supervise Brad Brooks. If you would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us. 

Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange

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