RedFlag, Allegation and/or Complaint against ERIC DEAN BRADY
Disclosure #1 for ERIC BRADY
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- Event Date: 9/19/2019
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: Allegations as to Eric Brady were that he did not properly supervise office assistant and that he was vicariously liable, as employer, for actions of misappropriation as office assistant.
- Settlement Amount: $25,000.00
- Arbitration Docket Number:
- Broker Comment: This action did not involve any allegations or claims based upon investment advice provided by Eric Brady. The only claims against Eric Brady involved a failure to supervise a clerical employee and vicarious liability for the wrongful acts of that employee. The matter was settled as to the Eric Brady on a \cost of defense\basis.
Should I file a FINRA complaint against brokers like ERIC DEAN BRADY?
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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Originally reported on November 17, 2022 @ 8:42 pm
