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.
LINCOLN LUCAS MASON (LINCOLN L MASON) formerly of Edward Jones of Arnolds Park, Iowa, from 03/29/2019 - 12/23/2021, was suspended for 90 days and fined $5,000.00 by FINRA. Mason was previously registered both as an investment advisor and as a broker. According to the FINRA report, without admitting or denying FINRA’s findings, LINCOLN L MASON […]
Investors have reportedly disputed the sales practices of securities broker John Howard Saunders [CRD: 870131, Vero Beach, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Saunders has been registered with UBS Financial Services Inc. since May 11, 2007, operating from both Vero Beach, Florida, and Roanoke, Virginia. Read on to discover […]
Investors potentially experienced sales practice violations due to securities broker Edward Muster [CRD: 1012341, Boca Raton, Florida], based on public information on FINRA BrokerCheck. Evidently, Edward Muster worked for Herbert J. Sims Co. Inc. from May 14, 1998, to July 7, 2020. Keep reading to find out more about Edward Muster’s disclosures. Herbert J. Sims […]
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