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Investor Wins $2.76 Million in Damages in Dispute with Kathleen Bradley

Jun 6, 2022 Failure to Supervise

Kathleen Bradley (CRD #: 1302758), a broker registered with Western International Securities, allegedly failed to supervise, according to her BrokerCheck record, accessed on May 29, 2022. Read on to learn more about Kathleen Bradley’s conduct as a broker.

Alleged Failure to Supervise

A dispute filed on February 16, 2022, alleged that Kathleen Bradley failed to supervise. The investor sought $16,440,221 in damages and received a settlement of $2,760,000.

FINRA Rule 3110

FINRA Rule 3110 requires firms to establish supervisory systems to ensure their employees follow FINRA regulations. This includes providing written procedures for supervision and making sure that supervisors have the training or experience for their role.

Background Information

Kathleen Bradley has passed the following exams:

  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination
  • Series 11 - Assistant Representative-Order Processing Qualification
  • Series 10 - General Securities Sales Supervisor - General Module Examination
  • Series 9 - General Securities Sales Supervisor - Options Module Examination

Kathleen Bradley is a registered broker in California.

She has also worked for the following firms:

  • Financial West Group (CRD#:16668)
  • Muriel Siebert & Company (CRD#:5376)
  • Morgan Stanley DW (CRD#:7556)
  • Wachovia Securities (CRD#:19616)
  • Prudential Securities (CRD#:7471)
  • Cowles, Sabol & Company (CRD#:13092)

Kurta Law Can Help

If you worked with Kathleen 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 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.