DID BRAD WHALEN CAUSE YOU INVESTMENT LOSSES?
Brad Whalen Of Green Vista Capital, LLC Has 2 Customer Complaints For Alleged Broker Misconduct
About Brad Whalen of Green Vista Capital, LLC?
Brad Whalen (CRD #2582276) has a long and varied career in the financial services industry. He is currently employed by Green Vista Capital, LLC in Winter Park, FL, since August 27, 2018. His registration history includes affiliations with several other firms, indicating a diverse professional background. Whalen is registered with one self-regulatory organization and is licensed in 24 U.S. states and territories. He has successfully passed two general industry/product exams (Securities Industry Essentials Examination and General Securities Representative Examination) and two state securities law exams (Uniform Investment Adviser Law Examination and Uniform Securities Agent State Law Examination), demonstrating his comprehensive qualifications in the field.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Brad Whalen Customer Complaints and Reviews
- Customer Disputes:
- Total Reported: Two customer disputes have been reported on Whalen’s record.
- Closed Dispute: In one incident, a client alleged misrepresentation concerning the safety and liquidity of auction market securities. The claim, filed on May 28, 2008, involved alleged damages of $300,000. It was denied on June 24, 2008.
- Pending Dispute: The other ongoing dispute involves allegations including violations of federal securities laws, common law fraud, breach of fiduciary duty, and negligence related to conservation easement investments. The alleged damages are $235,000, and the arbitration process is currently pending with FINRA under docket/case #24-00731
Allegations Against Brad Whalen
- Misrepresentation: In the closed dispute, Whalen was accused of misrepresenting the safety and liquidity of auction rate securities which led to significant financial concerns for the client. This case was denied.
- Multiple Violations and Breach of Duties: In the pending dispute, Whalen faces serious allegations including federal and state securities law violations, fraud, breach of contract, breach of fiduciary duty, and negligence related to his handling of investment recommendations.
Brad Whalen Red Flags & Your Rights As An Investor
Of course, Brad Whalen did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brad Whalen at Green Vista Capital, LLC on alert to review carefully the activity and performance of their accounts and question whether Brad Whalen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Green Vista Capital, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Green Vista Capital, LLC Due To Brad Whalen
If you have questions about Green Vista Capital, LLC and/or Brad Whalen and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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