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.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
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