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Robert Bradley Allegedly Sold Client’s Stocks Without Authorization

Robert Bradley (CRD #: 2414494), a broker registered with Morgan Stanley, allegedly executed unauthorized trades, according to his BrokerCheck record, accessed on October 9, 2022. If you have questions about his conduct as a broker, read on.

Investor Dispute

On July 19, 2022, an investor alleged that Robert Bradley sold the client’s shares of Ford stock without authorization after the client decided he no longer needed the funds. This dispute was settled for $62,494.41.

FINRA Rule 3260

Unauthorized trading violates FINRA Rule 3260, which restricts brokers from executing discretionary trades outside pre-authorized discretionary accounts.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 3260 are automatic violations of FINRA Rule 2010. 

Background Information

Robert Bradley 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 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

Robert Bradley is a registered broker in 37 states, the District of Columbia, and the Virgin Islands. He is also a registered investment adviser in Michigan and Texas.

He has also worked for Citigroup Global Markets (CRD#:7059).

Kurta Law Can Help

If you worked with Robert 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. 

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