Bradford Eric Bugher, of Wilmington, Delaware, a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Incorporated, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested unspecified damages supported by accusations of Bugher’s failure to “follow instructions” relating to the customer’s common and stock transactions between November 19, 2018, and December 26, 2018, during the time that Bugher was employed by Merrill Lynch. Financial Industry Regulatory Authority (FINRA) Arbitration No. 21-02655 (November 4, 2021).
FINRA Public Disclosure shows that Bugher has been identified in two additional customer initiated investment related disputes regarding allegations of his misconduct when he was employed by Merrill Lynch. On September 4, 2018, a customer filed an investment related complaint regarding Bugher’s activities in which the customer sought compensatory damages founded on accusations of Bugher’s misrepresentations concerning an annuity held by the customer between December 26, 2003, and December 22, 2016, when Bugher was associated with Merrill Lynch.
Bugher is also referenced in a customer initiated investment related written complaint on December 19, 2018, where the customer requested compensatory damages based upon allegations of failure to “follow instructions” regarding stock trading in the customer’s Merrill Lynch account.
Both claims were denied by his employer.
Bugher has been registered with Merrill Lynch as a stockbroker since March 11, 1993, and as an investment adviser representative since January 1, 1998.
