Brad Steven Whalen, of Winter Park, Florida, a stockbroker registered with Green Vista Capital LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $235,000.00 in damages based upon allegations that Whalen was negligent, violated federal securities laws and New Jersey securities laws, breached his fiduciary duties, committed fraud, and breached a contract in connection with the sale of conservation easement investments during the time that Whalen was associated with Green Vista Capital LLC. FINRA Arbitration No. 24-00731 (April 4, 2024).
This marks the second time that Whalen has been referenced in a customer initiated investment related dispute concerning Whalen’s conduct in the securities industry. FINRA Public Disclosure shows that Whalen is also referenced in a customer initiated investment related complaint filed on May 28, 2008, in which the customer requested $300,000.00 in damages based upon allegations that Whalen made misrepresentations concerning the liquidity and safety of auction rate securities when Whalen was associated with TD Ameritrade Inc.
Whalen has been associated with Green Vista Capital LLC in Winter Park, Florida since August 27, 2018. He was associated with Green Vista Asset Management LLC in Winter Park, Florida from September 20, 2018, to September 17, 2020, and
