Brian Bradley Subject of Variable Annuity Disputes

Brian Bradley (CRD #: 4475085), a broker registered with MML Investors Services, has been involved in several investor disputes, according to his BrokerCheck record, accessed on January 6, 2025. Keep reading if you have questions about his alleged conduct as a broker.

Investor Disputes

On March 30, 2017, an investor named Brian Bradley in a dispute alleging that she incurred an additional tax liability by exchanging her variable annuity contract in 2016. This dispute was denied by the firm.

Another denied dispute, filed on March 24, 2015, alleged that Brian Bradley misrepresented variable annuities in 2012. These annuities were allegedly also inappropriate for the objectives of the client’s retirement plan.

Investors should be aware, however, that firms can deny disputes without an external review. It’s still possible to recover damages following a denial and investors may want to pursue FINRA arbitration.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulative, deceptive, or otherwise fraudulent tactics to influence the purchase and sale of securities. Misrepresenting an investment’s risks, fees, requirements, or other features violates this rule.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to suit investors’ profiles, which describe characteristics such as their risk age, tax status, and investment goals.

Investors who rely on brokers for recommendations may be able to recover their losses by seeking out FINRA arbitration.

What are Variable Annuities?

Variable annuities are complex investments whose value depends on the performance of their underlying securities. Surrender charges, tax penalties, and other fees can make these policies unsuitable for certain investors.

Tax Lien

On December 14, 2015, Brian Bradley incurred a $122.84 tax lien.

Background Information

Brian Bradley has passed the following exams:

• Investment Company Products/Variable Contracts Principal Examination – Series 26
• Securities Industry Essentials Examination – SIE
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Securities Agent State Law Examination – Series 63

Brian Bradley is a registered broker in 10 states and a registered investment adviser in New York and Texas.

He has also worked for Northwestern Mutual Investment Services (CRD#:2881).

Kurta Law Can Help

If you worked with Brian Bradley 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 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.