Last Updated: December 2023 (Columbia, South Carolina)
Joshua Bradley Investigation Summary
Here’s what you need to know about Columbia, SC , stockbroker Joshua Bradley:
- Name: Mr. Joshua D. Bradley
- Current Employer: Integrated Advisors Network (RIA), not currently registered with FINRA
- Previous Firms: Merrill Lynch Pierce Fenner & Smith, Voya Financial Advisors
- Function: Stock Broker/ Financial Advisor
- Aliases: None
- Primary Location: Columbia, South Carolina
- CRD 5174430
- Can Joshua Bradley be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
- Discharged by a prior employer: Yes
- Pending Customer Dispute Seeks Damages of $100,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Joshua Bradley As Your Stockbroker?
Joshua Bradley was suspended for six months (11/2017-5/2018) and fined $15,000 by FINRA for placing trades in customer accounts at a firm he was no longer associated with and failed to notify his employing firm of these discretionary accounts. FINRA found that after leaving his original firm he improperly used his log-in credentials to access the firm’s trading platform. Later, after he had been terminated he used another brokers log-in credentials to place another trade.
Bradley was discharged by Merrill Lynch in 2016 for improperly accessing and placing trades in clients accounts at his previous firm and his failure to be forthcoming during Merrill’s review of the matter.
In 11/2023 a customer of Voya Financial Advisors filed a FINRA arbitration alleging that Joshua Bradley recommended an investment in a business development company (BDC) and failed to disclose the nature and risks associated with such an investment. Damages of $100,000 are sought in this pending matter.
Voya Financial Advisors has had a large number of customer complaints resulting from recommendations by VOYA brokers to invest in various 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 Joshua Bradley
Customers of Joshua Bradley have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in a business development company (BDC)
- Failed to disclose risks associated with alternative investments
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
If you have suffered investment losses in an account handled by Joshua Bradley, 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.
