Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Bradley William Werner [CRD: 2329211, Porter, Indiana]. Evidently, Bradley Werner worked as financial advisor for Securities America Advisors Inc. from October 19, 2017, to December 21, 2023. He also worked as securities broker for Securities America Inc. during the same period. Werner was sanctioned by a Florida regulator and accused of sales practice violations in client disputes. Keep reading to learn more about these issues.
Regulatory Action by Florida Office of Financial Regulation Results in Fine
Notably, the Florida Office of Financial Regulation charged Bradley Werner with providing investment advice without being registered. On March 27, 2024, the regulator issued Case No. 120333-SR, ordering Werner to cease and desist from violating Florida law and fining him $7,500. Evidently, the regulator said that Werner violated Florida Statutes Section 517.12(4). Werner agreed to comply with the sanctions.
FFP Securities Inc. Client Accused Bradley Werner of Unsuitable Recommendations
Also, on May 25, 2004, a client of FFP Securities Inc. made a complaint accusing Bradley Werner of making unsuitable recommendations involving variable annuities. The client asked for $19,000 in damages for alleged financial harm. However, FFP Securities Inc. closed the complaint, and no compensation was awarded.
If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney. Werner and the brokerage firms he worked for deny accusations of sales practice violations. Soreide Law Group has experience representing investors throughout the country and handles cases on a contingency basis.
