Bradley Clyde Fischer of Troy Michigan a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related arbitration claim in which the customer sought $450,000.00 in damages supported by allegations that unsuitable real estate investment trust transactions were effected in the customer’s investment account which caused the customer to incur investment losses. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-02445 (July 11, 2018).
FINRA Public Disclosure confirms that Fischer is referenced in two more customer initiated investment related disputes containing accusations of Fischer’s violative conduct during the time that he was associated with LPL Financial. Specifically, on February 5, 1999, a customer filed an investment related complaint involving Fischer’s conduct where the customer requested $28,151.70 in damages founded on allegations that the terms and conditions of the customer’s variable life insurance contract had been misrepresented at the time that the recommendations had been made.
Thereafter, a customer initiated investment related arbitration claim regarding Fischer’s activities was settled for $98,500.00 in damages based upon accusations including the violation of NASD Rules and state law; misrepresentation; negligence; breach of fiduciary duty; breach of contract; and suitability concerning the customer’s investments in real estate investment trusts. FINRA Arbitration No. 11-03048 (Aug. 27, 2012).
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