Christopher James Bradshaw of Kings Park New York a stockbroker currently employed by Kestra Investment Services LLC is referenced in a customer initiated investment related written complaint on March 9, 2018 where the customer alleged suitability and unauthorized trading concerning the customer’s real estate security and mutual fund holdings.
Apparently, the customer was placed into C Shares within an account designed for long term investing, and had been placed in investments that did not offer the customer liquidity.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Bradshaw has been identified in two additional customer initiated investment related disputes containing accusations of his misconduct during the time that he was registered with NFP Advisor Services, LLC and Kestra Investment Services. Specifically, a customer initiated investment related arbitration claim concerning Bradshaw’s conduct was settled for $140,000.00 in damages supported by allegations that mezzanine financing investments had been misrepresented to the customer. FINRA Arbitration No. 13-02418 (July 9, 2015).
On April 2, 2015, another customer filed an investment related complaint concerning Bradshaw’s activities in which the customer requested damages estimated to exceed $5,000.00 founded on accusations that the customer’s individual retirement account holdings had been liquidated without the customer’s knowledge or consent.
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