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Bradley Kaiser Involved in a $16 Million Investor Dispute

Mar 21, 2022 Unsuitable Investments

Bradley Kaiser (CRD #: 2523397), a broker currently registered with Hamilton Grant LLC, is facing allegations of failure to carry out supervisory duties. This information is from Bradley Kaiser’s BrokerCheck record, accessed on March 19, 2022. You can find more information below about Bradley Kaiser’s conduct as a broker.

Investor Allegations

On February 16, 2022, an investor alleged that Bradley Kaiser failed to supervise. The investor sought $16,440,221; the dispute is pending.

On December 29, 2021, an investor filed a dispute against Bradley Kaiser alleging control person liability. The dispute is currently pending.

On March 21, 2018, an investor filed a dispute against Bradley Kaiser alleging he failed to supervise. The investor sought $1,200,000; the dispute settled for $300,000.

Failure to Supervise

FINRA Rule 3110 requires brokerage firms to establish and maintain supervisory systems to ensure that all their activities are compliant with FINRA rules. This includes designating a registered principal to carry out supervisory duties.

Background Information

Bradley Kaiser has passed the following exams:

  • Series 66 - Uniform Combined State Law Examination
  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination
  • Series 53 - Municipal Securities Principal Examination
  • Series 24 - General Securities Principal Examination

Bradley Kaiser is currently registered in 50 states, the District of Columbia, and the Virgin Islands.

He has worked for the following firms:

  • National Planning Corporation (CRD #:29604)
  • Valdes, Kaiser & Associates, LLC (CRD #:146589)
  • Computer Clearing Services Inc. (CRD #:20776)
  • Wells Fargo Securities Inc. (CRD #:17438)
  • Pacific Coast Financial Securities, Inc. (CRD #:29267)

Kurta Law Can Help

If you worked with Bradley Kaiser and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.