Last Updated: September 2023 (Bellevue, WA)
Brock Brady Investigation Summary
Here’s what you need to know about Bellevue, Washington, stockbroker Brock Brady:
- Name: Mr. Brock Justin Brady
- Current Employer: Not currently registered with FINRA-dba Weststar Prosperity Partners
- Previous Firms: Cetera Advisor Network LLC , Voya Financial Advisors, AXA Advisors LLC
- Function: Former Stock Broker/ Financial Advisor
- Aliases: None
- Primary Location: Belleview, WA
- CRD 4638576
- Can Brock Brady be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $270,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Brock Brady As Your Stockbroker?
In 10/2022 a customer of Voya Financial Advisors filed a FINRA arbitration alleging the Brock Brady misrepresented that investments in real estate investment trusts (REIT) were conservative, secure and did not carry any significant risks. The customer is seeking $270,000 in damages in this currently pending matter.
Allegations of Broker Misconduct Against Brock Brady
A customer of Brock Brady has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in REITs
- Misrepresented that REIT investments are conservative, secure and do not carry any significant risks
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. For more investigations involving Alternative Investments, see this.
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.
See this for our Investigation of Voya Financial Advisors Complaints.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Brock Brady, contact us for a complimentary consultation with an experience 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.
