Investors might have sustained losses due to securities broker Brad Steven Whalen [CRD: 2582276, Winter Park, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brad Whalen joined Green Vista Capital LLC on August 27, 2018. Read below for additional information about the securities broker’s disclosures.
Particularly, on April 4, 2024, a Green Vista Capital LLC client filed FINRA Arbitration: 24-00731 about Brad Whalen. Supposedly, Whalen violated New Jersey securities laws, violated federal securities rules, breached a fiduciary duty, breached a contract, and was negligent. Because of this, the client allegedly sustained damages on conservation easement investments. As a result, the client requested $235,000 in compensation from Green Vista Capital LLC or Whalen. Evidently, this arbitration is pending a resolution.
Also, a client of TD Ameritrade Inc. contested Brad Whalen’s sales practices, according to a complaint dated May 28, 2008. Allegedly, Whalen misrepresented the liquidity of auction rate securities. It appears that Whalen allegedly caused the client to sustain damages. Therefore, the client sought compensation from TD Ameritrade Inc. or Whalen in the amount of $300,000 in this matter. The securities broker denied the dispute.
Have you experienced losses because of any sales practice violation by financial advisor / securities broker Brad Whalen? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about your legal options. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Whalen and brokerage firms Whalen worked for deny accusations of sales practice violations. Contact Soreide Law Group.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com