Rex Securities Law Investment Fraud Attorney Investigates Bradley Bergdahl Formerly with LPL Financial

Rex Securities Law Investment Fraud Attorney Investigates Bradley Bergdahl Formerly with LPL Financial

Rex Securities Law Investment Fraud Attorney Investigates Bradley Bergdahl Formerly with LPL Financial 150 150 Robert Rex, Esq.

Last Updated: April 2024 (Cando, North Dakota)

Bradley Bergdahl Investigation Summary

Here’s what you need to know about Cando, N. Dakota, stockbroker Bradley Bergdahl:

  • Name: Mr. Bradley Jay Bergdahl
  • Current Employer: Cetera Advisor Networks, CWM LLC (RIA)
  • DBA: Carson Group Partners, First State Bank of Cando, United Valley Bank, Premier Wealth Management
  • Previous Firms: LPL Financial
  • Function: Stock Broker/ Financial Advisor/Registered Investment Advisor
  • Aliases: Bradley Bergdahl
  • Primary Location: Cando, North Dakota
  • CRD 1432349
  • Can Bradley Bergdahl be sued in FINRA arbitration: Yes
  • Sanctioned by FINRA: No
  • Highest Settlement or Award: $50.000
  • Pending Customer Dispute Seeks Unspecified Damages

Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.

Did You Lose Money With Bradley Bergdahl As Your Stockbroker?

A customer of LPL Financial filed a FINRA arbitration in 3/2024 alleging that Bradley Bergdahl recommended unsuitable investments that were not appropriate for his investment objectives and risk tolerance . A damage amount is not yet specified in this pending matter.

In 6/2022 another LPL Financial customer was paid $50,000 to settle a FINRA arbitration alleging that a real estate investment trust (REIT) purchased in 2014 was unsuitable.

[LEARN MORE]: See this for more information on REITs and Other Alternative Investments

Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk.

Allegations of Broker Misconduct Against Bradley Bergdahl

A customer of Bradley Bergdahl has alleged the following wrongdoing in connection with the handling of customer accounts:

  • Investment recommendation not suitable for customer’s risk tolerance and investment objectives

[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)

Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.

[LEARN MORE]: FINRA Rule 2111- suitability

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

Recover Your Investment Losses Now With Rex Securities Law

[LEARN MORE]: Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes

If you have suffered investment losses in an account handled by Bradley Bergdahl, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.

With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.

If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.

Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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