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Brad Whalen Allegedly Violated New Jersey and Federal Securities Laws

Brad Whalen (CRD #: 2582276), a broker registered with Green Vista Capital, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on May 15, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations

On April 4, 2024, investors alleged that Brad Whalen violated federal securities laws and New Jersey Uniform Securities Law. They further alleged common law fraud and negligence. The investor is seeking $235,000. 

Negligence

Many types of broker misconduct may qualify as negligence. Typical examples include unsuitable investment recommendations, misrepresentations or omissions of material fact, and failure to follow instructions.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Securities fraud violates FINRA Rule 2010. 

Background Information 

Brad Whalen has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 24 states. 

During his 23 years of experience, he has registered with 11 firms. These are the five most recent: 

  • Green Vista Capital (CRD #: 293630) 
  • Green Vista Asset Management (CRD #: 296855) 
  • The Strategic Financial Alliance (CRD #: 126514) 
  • J.W. Korth & Company (CRD #: 26455) 
  • Amerivest Investment Management (CRD #: 111514) 

Kurta Law Can Help 

If you have worked with Brad Whalen and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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