Charles Braden: Received a Regulatory Sanction

Charles BradenPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 5, 2017 indicate that former Illinois-based Raymond James Financial Services broker/adviser Charles Braden II has been the subject of a customer dispute and is currently not affiliated with any FINRA broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Braden (CRD# 1089316).

Charles Braden has spent 34 years in the securities industry and was most recently registered with Raymond James Financial Services in Carmi, Illinois. Previous registrations include LPL Financial in Carmi, Illinois; Invest Financial Corporation in Carmi, Illinois; AG Edwards & Sons in Evansville, Illinois; and JJB Hilliard WL Lyons in Louisville, Kentucky. He is currently not registered with any state or firm.

According to his BrokerCheck report, Charles Braden II has received one customer complaint and one regulatory sanction, and resigned from one former employer.

In 2016 a customer alleged Charles Braden, while employed at LPL Financial, executed an unauthorized annuity investment. The customer sought unspecified damages in the complaint, which was denied.

In 2013 a customer alleged Charles Braden, while employed at Invest Financial Corporation, executed excessive and unsuitable transactions. The complaint settled in 2015 for $11,250.

In 2005 the National Association of Securities Dealers sanctioned him following allegations he extended credit, for a period of time, to public customers “by giving his personal checks totaling $23,937.65 to them so that they could purchase securities.” He was issued a fine of $5,000.

In 2003 he was “permitted to resign” from his position at Hilliard Lyons following allegations he violated firm policy with respect to the deposit of personal funds in client accounts.

If you or someone you know has a complaint regarding Charles Braden II, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.