Securities broker Bradley Allen Goodbred (CRD#: 3184210, Roselle, Illinois) discloses an investor dispute and a regulatory sanction on BrokerCheck. It appears that disclosures involving Goodbred concern his securities broker role at securities firm LPL Financial LLC (his employer from 2009 to 2021). Read further to learn more about an investor dispute and regulatory action involving Goodbred as reported on BrokerCheck. However, keep in mind that the broker denies allegations against him.
Notably, FINRA BrokerCheck shows that in 2022, an LPL Financial LLC client objected to Bradley Goodbred’s sales practices. The client alleges that the securities broker caused them to make the broker a power of attorney for the client. Supposedly, Goodbred then had the client invest in an unregistered security. The client contends that Goodbred’s actions caused damages on a real estate security purchase. Because of this, the client asserts that the securities firm should pay $1,613,981.30 in damages. This matter awaits a resolution.
The regulator barred Goodbred in February 2021. Specifically, FINRA contends that the securities broker violated Rule 8210 by not responding to an information request. It appears that FINRA asked for Goodbred to supply information relating to the client who purportedly gave him power of attorney. In January 2021, prior to FINRA’s requests, LPL Financial issued a “discharge” to Goodbred because of him allegedly using a POA without approval. Indeed, the firm refers to him purportedly facilitating an unauthorized distribution of client funds. Those funds, according to LPL Financial, went to a real estate entity which was under the ownership and control of Goodbred.
Did Bradley Goodbred directly or indirectly cause you to suffer losses? If so, get in touch with Soreide Law Group at (888) 760-6552 to discuss with a skilled securities lawyer the possible recovery of your losses. Soreide Law Group represents investor clients on a contingency fee basis. Also, we advance all costs. The firm has helped many investors in the US recover compensation after incurring losses caused by their financial advisors or securities brokers. Please note that Goodbred denies the allegations of sales practice violations.
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