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William Bravato is the Subject of an Investor Dispute

William Bravato (CRD #: 2562867), a broker registered with Wells Fargo Clearing Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on May 17, 2024. Keep reading if you have questions concerning his alleged conduct. 

Investor Allegations 

On March 26, 2024, an investor alleged that he did not authorize a capital call and asserted that William Bravato recommended an investment to meet a quota. Capital calls happen when a company taps into its limited partnership for funds. The firm denied the dispute, but investors should know that firms can deny disputes without any external review. Investors can still recover their losses following a denial. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Recommending an investment for the sake of meeting a quota would violate this rule. 

Background Information 

William Bravato 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

He is a registered broker in 11 states and is a registered investment adviser in Florida. 

During his 29 years of experience, William Bravato has registered with three firms: 

  • Wells Fargo Clearing Services (CRD #: 19616) 
  • CitiGroup Global Markets (CRD #: 7059) 
  • Halpert and Company (CRD #: 7094)  

Kurta Law Can Help 

If you have worked with William Bravato and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.

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