Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 5, 2018 indicate that former South Carolina-based Merrill Lynch broker/adviser Joshua Bradley has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bradley (CRD# 5174430).
Joshua Bradley has spent nine years in the securities industry and was most recently registered with Merrill Lynch in Columbia, South Carolina (2015-2016). Previous registrations include Voya Financial Advisors in Columbia, South Carolina (2008-2015); Gunnallen Financial in Lexington, South Carolina (2008); First Allied Securities in Lexington, South Carolina (2007-2008); and Edward Jones in Hopkins, South Carolina (2006). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 16, 2011; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 3, 2006; and Series 7 (General Securities Representative Examination), which he obtained on September 12, 2006. He is currently not registered with any state or firm.
According to his BrokerCheck report, Joshua Bradley has been sanctioned by FINRA in connection to alleged rule violations and was discharged from his position at Merrill Lynch in connection to alleged rule violations.
In November 2017 FINRA sanctioned Joshua Bradley in connection to allegations he placed trades in client accounts with a firm he was no longer associated with and that he failed to notify his member firm of “these discretionary accounts.” FINRA additionally he “improperly used his log-in credentials” to access his firm’s platform and enter trades, and that after his own credentials were terminated he used another employee’s credentials to place another transaction. He was suspended for six months and issued a fine of $15,000.
In 2016 he was terminated from his position at Merrill Lynch following allegations he improperly accessed the firm’s platform and placed trades in customer accounts at his previous firm, and further that he failed to be forthcoming during his firm’s review of these circumstances.
If you have lost money investing with Joshua Bradley, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.