Gary Mack Bradshaw, a stockbroker currently registered with First Dallas Securities Incorporated, is the subject of a customer initiated investment related arbitration claim, which settled on January 10, 2017 for $11,500.00 in damages founded upon accusations that Bradshaw placed unsuitable over-the-counter equities trades in the customer’s account. Arbitration Case No. 16-03036 (Jan. 10, 2017).
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Bradshaw has been identified in two additional customer initiated investment related disputes pertaining to allegations of his misconduct while employed with First Dallas Securities, Inc. Particularly, on June 20, 2003, a customer initiated investment related arbitration claim involving Bradshaw’s conduct was settled for $20,437.00 in damages founded upon accusations that Bradshaw placed corporate debt transactions in the customer’s account, which caused the customer to sustain investment losses. Apparently, the issuer’s struggling financial condition was never communicated to the customer by the firm’s personnel.
Moreover, on November 15, 2016, a customer initiated investment related arbitration claim regarding Bradshaw’s activities was resolved for $87,500.00 in damages founded upon accusations that Bradshaw placed unsuitable over-the-counter equities transactions in the customer’s account.
Guiliano Law Group
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