RedFlag, Allegation and/or Complaint against Charles Ray Bradshaw
Disclosure #1 for Charles Bradshaw
- Event Date: 1/26/2009
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: 11/08-1/09; CLIENT STATES SHE MET WITH FA ABOUT TWO MONTHS AGO REGARDING HER INVESTMENTS AND STATES FA ENCOURAGED HER TO CONTINUE TO HOLD. CLIENT STATES SHE OPENED HER LATEST STATEMENT AND SAW HER ACCOUNT DROPPED OVER $20,000. SHE AGAIN MET WITH FA WHERE HE PROVIDED HER WITH THE SAME ADVICE. CLIENT IS REQUESTING REIMBURSEMENT OF HER LOSSES DUE TO ADVICE FROM FA.
- Damage Amount Requested: $5,000.00
- Arbitration Docket Number:
- Broker Comment: FA HAS INDICATED THAT HE DID MEET WITH THE CLIENT ON SEVERAL OCCASIONS AND PROVIDED INVESTMENT ADVICE AS WELL AS VARIOUS OPTIONS FOR THE PORTFOLIO. IN CLOSING, UPON REVIEW OF THE INVESTMENTS THAT WERE HELD IN THE ACCOUNTS, THEY DID NOT APPEAR TO BE OUTSIDE OF THE SCOPE OF THE INVESTMENT OBJECTIVES LISTED ON THE ACCOUNTS. WHILE WE UNDERSTAND THE CLIENT’S DISAPPOINTMENT WITH THE PERFORMANCE OF THE PORTFOLIO, IT DOES APPEAR THE DECLINES WERE ATTRIBUTED TO MARKET FLUCTUATION WHICH IS A RISK ASSOCIATED WITH INVESTING. BECAUSE THE FUTURE CANNOT BE PREDICTED WITH COMPLETE ACCURACY, WE ENCOURAGE OUR CLIENTS TO PREPARE FOR THE FUTURE BY MAINTAINING DIVERSIFIED PORTFOLIOS.
Should I file a FINRA complaint against brokers like Charles Ray Bradshaw?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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