Philip Scott Bradshaw of San Diego, California, a stockbroker registered with Merrill Lynch Pierce Fenner Smith Inc., was the subject of a customer initiated investment related complaint filed on February 13, 2023, in which the customer requested compensation based upon allegations that Bradshaw made misrepresentations of material fact in connection with the sale of mutual funds when Bradshaw was associated with Merrill Lynch Pierce Fenner Smith Inc. This complaint was subsequently withdrawn by the customer.
This is not the first time that Bradshaw has been referenced in a customer initiated investment related dispute concerning Bradshaw’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Bradshaw was also referenced in a customer initiated investment related complaint that was settled on December 29, 2022, for $6,669.49 in damages based upon allegations that Bradshaw did not act in the customer’s best interests in connection with the sale of hedge funds during the time that Bradshaw was associated with Merrill Lynch Pierce Fenner Smith Inc.
Bradshaw was associated with Merrill Lynch Pierce Fenner Smith Inc. as a stockbroker from July 31, 2006, to November 29, 2022, and associated with Merrill Lynch as an investment advisor representative from July 28, 2006, to November 29, 2022. Since January 27, 2023, he has been associated with Raymond James Associates Inc. as both a stockbroker and an investment advisor representative.
