One or more investors apparently complained about securities broker Bradley Steven Vick (also known as Brad Vick, Bradley S. Vick) [CRD: 2056504, Stillwater, Minnesota], according to publicly available information on FINRA BrokerCheck. Evidently, Bradley Vick has worked with LPL Financial LLC since May 30, 2024. Prior to that, he was registered with Northwestern Mutual Investment Services LLC in Mendota Heights, Minnesota, from April 24, 2002, to May 29, 2024. Below, you can learn more about the disclosure involving Bradley Vick and the nature of the client’s allegations.
Specifically, a client filed a complaint about Bradley Vick. The client alleged that Vick misrepresented the interest rate of a fixed annuity the client purchased in 2022 through a 401(k) rollover. Because of this, the client allegedly sustained damages on fixed annuities. Therefore, on January 10, 2025, Northwestern Mutual Investment Services LLC settled this matter by paying the client $17,000.00 in damages.
When a securities broker or financial advisor is accused of misrepresentation, it means they allegedly provided false, misleading, or incomplete information about an investment. This might include overstating potential returns, omitting risks, or inaccurately explaining the terms of a product such as interest rates or fees. These misrepresentations can lead investors to make decisions they otherwise wouldn’t have made—potentially resulting in financial losses. Such allegations are serious, as they suggest the broker may not have acted in the client’s best interests.
Did you experience losses because of Bradley Vick? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a potential recovery of investment-related losses. Soreide Law Group has recovered losses for investors throughout the US, represents clients through a contingency fee basis, and advances all costs. Vick and brokerage firms Vick worked for deny any allegations of sales practice violations.
The private market, once the exclusive playground of institutional investors, has increasingly opened its doors to individual investors seeking a piece of the next unicorn. Funds like the Advanced Technology Select Funds - targeting high-profile private companies such as Flexport, Plaid, and Cybereason - are a prime example of this trend. While the prospect of […]
Soreide Law Group, PLLC At Soreide Law Group, we help investors, shareholders, and publicly traded companies navigate the complex federal rules governing the resale of restricted or control securities. Our attorneys understand that clearing restrictive legends and ensuring compliance with Rule 144 or other resale exemptions can be time-sensitive and critical to protecting shareholder rights. […]
FINRA barred securities broker Emma Marie McAuley [CRD: 7178199, Auburn, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McAuley worked for Edward Jones from November 4, 2019, to March 19, 2024. Keep reading to learn more about McAuley’s disclosures. FINRA Sanctioned McAuley For Failure To Respond Notably, on January 21, 2025, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com