Bradley Smegal – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Bradley Smegal. If you suffered losses investing with Bradley Smegal, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Bradley Smegal (CRD# 716056)
FINRA has permanently barred this individual from acting as a broker or otherwise associating with firms that sell securities to the public.
Previous Registration(s)
03/2006 – 11/2011 WELLS FARGO ADVISORS, LLC (CRD# 19616) – MINNEAPOLIS, MN
08/2000 – 04/2006 PIPER JAFFRAY & CO. (CRD# 665) – MINNEAPOLIS, MN
03/1998 – 08/2000 DAIN RAUSCHER INCORPORATED (CRD# 31194) – NEW YORK, NY
12/1992 – 03/1998 DAIN RAUSCHER INCORPORATED (CRD# 7600)
09/1990 – 12/1992 EVEREN SECURITIES, INC. (CRD# 19616) – ST. LOUIS, MO
08/1989 – 09/1990 BLUNT ELLIS & LOEWI INCORPORATED (CRD# 7580)
02/1988 – 09/1989 SHEARSON LEHMAN HUTTON INC. (CRD# 7506) – NEW YORK, NY
09/1984 – 02/1988 E. F. HUTTON & COMPANY INC (CRD# 235)
09/1980 – 09/1984 PAINEWEBBER INCORPORATED (CRD# 8174)
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Bradley Smegal and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
