Brad Ashley Allegedly Failed to Obtain a Clients Signature For His/Her Account

Brad Ashley

Public records provided by the Financial Industry Regulatory Authority (FINRA) on April 11, 2017 indicate that Texas-based BOK Financial Securities broker/adviser Brad Ashley has been the subject of a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ashley (CRD# 4356018).

Brad Ashley has spent sixteen years in the securities industry and has been registered with BOK Financial Securities in San Antonio, Texas since 2014. Previous registrations include Investment Professionals in Boerne, Texas (2006-2014) and Alliance Bernstein Investments in San Antonio, Texas (2001-2006). He has passed fur securities industry examinations: Series 7 (General Securities Representative Examination), Series 63 (Uniform Securities Agent State Law Examination), Series 6 (Investment Company Products/Variable Contracts Representative Examination), and Series 66 (Uniform Combined State Law Examination). He is a registered broker and investment adviser with seven US states and territories: Connecticut, Illinois, Kentucky, New Jersey, Texas, Utah and Virginia.

According to his BrokerCheck report, he has received one customer complaint and one denied customer complaint.

In 2016 a customer alleged Brad Ashley, while employed at Investment Professionals, unsuitably recommended a variable annuity product and failed to obtain a client’s signature on a free-look notification. The complaint settled for $18,500.

In 2015 a customer alleged Brad Ashley, while employed at Investment Professionals, inappropriately recommended an annuity and did not provide a free-look notification. The customer sought $42,345 in damages in the complaint, which was denied.

If you have complaints regarding Brad Ashley, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.