FINRA fined securities broker Glenn Edwin Bridwell Jr. (also known as Ed Bridwell) [CRD: 1783191, Wichita, Kansas], and an investor complained about him, based on publicly available information found on FINRA BrokerCheck. Evidently, Bridwell was registered with FBL Marketing Services LLC from January 13, 1988, to October 2, 2024. Read on to find out more about the disclosures concerning Bridwell’s conduct and the outcomes of regulatory and client complaints.
Evidently, on September 4, 2024, FINRA issued Case No. 2022074599001 sanctioning Glenn Bridwell for violations of industry rules. Specifically, Bridwell was suspended for 10 business days, from October 7, 2024, to October 21, 2024, and fined $5,000, which he paid on September 17, 2024. FINRA alleged that Bridwell traded in investor accounts without obtaining the required prior written authorization and without his firm, FBL Marketing Services LLC, accepting those accounts as discretionary.
According to FINRA findings, in November 2020, Bridwell executed 494 transactions in 46 investor accounts based on implied but not written authority. These actions violated FINRA Rule 3260(b), which requires prior written consent for discretionary trading, and Rule 2010, which requires compliance with ethical standards. Without admitting or denying the findings, Bridwell consented to the sanctions through a Letter of Acceptance, Waiver, and Consent.
Additionally, a client of FBL Marketing Services LLC contested Glenn Bridwell’s sales practices, according to a complaint. Allegedly, Bridwell made trades in the client’s account without permission. It appears that Bridwell caused the client to sustain damages on mutual funds. Therefore, FBL Marketing Services LLC agreed to settle the matter on October 25, 2022, by paying $41,000.
Do you have concerns or questions regarding investments you made with Glenn Bridwell? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney about a possible recovery of your investment losses. For years, Soreide Law Group has recovered losses for clients throughout the USA. The firm also works on a contingency fee basis and advances all costs. Bridwell and brokerage firms Bridwell worked for deny all allegations of sales practice violations.
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