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Bradley Stokke Fined by State of Wisconsin

Bradley Stokke (CRD #: 4436226), a broker registered with PFS Investments, has been fined by the State of Wisconsin, according to his BrokerCheck record, accessed on December 14, 2022. Investors may have also worked with him through Primerica Advisors. If you have questions about Bradley Stokke’s alleged conduct as a broker, keep reading.

Fine by State of Wisconsin

On September 6, 2022, the Wisconsin Commissioner of Insurance alleged that Bradley Stokke failed to disclose an existing life insurance policy on a client’s application for life insurance from Primerica. The Commissioner fined Bradley Stokke $500.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent means of influencing the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

Background Information

Bradley Stokke 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 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 26 – Investment Company Products/Variable Contracts Principal Examination

Bradley Stokke is a registered broker in 11 states and a registered investment adviser in Wisconsin.

Kurta Law Can Help

If you worked with Bradley Stokke and you 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. 

 

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