Were you the victim of former Voya Financial Advisors, Inc. broker Joshua Bradley (CRD# 5174430)? He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Columbia, South Carolina, from 2015 to 2016, when he was terminated regarding, “Conduct involving improperly accessing and placing trades in client accounts at the registered representative’s previous firm and failure to be forthcoming during the Firm’s review of this matter.” He was previously registered with Voya Financial Advisors, Inc. in Columbia, South Carolina, from 2008 to 2015.
In November 2017, FINRA sanctioned him to pay $15,000 in civil and administrative penalties and fines and suspended him for six months following allegations that he “placed eight trades in five customer accounts with a member firm he was no longer associated with, and failed to notify his employing firm of these discretionary accounts. The findings stated that after he left the original firm, he improperly used his log-in credentials to access the firm’s trading platform and enter seven trades and later after his log-in credentials had been terminated, he used another registered representative’s log-in credentials to place another trade.”
Joshua Bradley Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
November 2023. “Claimant alleges that, in June 2014, the representative failed to disclose the illiquid nature and risks associated with a non-traded business development company. Claimant further alleges that the recommendation was unsuitable.” The customer is seeking $100,000 in damages, and the case is currently pending. The complaint was regarding business development company (BDC) losses, and it took place while he was registered with Voya Financial Advisors, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Voya Financial Advisors, Inc. may be liable for investment or other losses suffered by Joshua Bradley’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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