Bradley Claus, of Castle Rock, Colorado, was named a respondent in a FINRA complaint alleging that he participated in private securities transactions with three investors, in an oil and gas company, without receiving authorization from his member firm. The complaint alleges that the firm did not permit Claus to solicit or sell investments in the private securities transaction of the oil and gas company. The complaint also alleges that Claus made material misstatements of fact to a customer in emails regarding a potential investment. Claus knew or was reckless in not knowing that his statements were false or misleading. Claus’ firm did not offer or authorize him to solicit or sell the investments. Claus was previously registered with World Group Securities. FINRA further alleges that Claus avoided his firm’s supervisory system and procedures by using an unauthorized outside email account. Despite the firm’s prohibition, Claus routinely used the personal outside email account to conduct securities business. Claus improperly used the firm’s name, firm address and firm phone number in emails from his outside email account. Claus never notified the firm of this email account and prevented his firm from supervising his communications with the public from that email account. (FINRA Case #2012033520801)
If you invested money with Bradley Claus, you may be entitled to recover some of your investment losses. Oil and gas investments can be very speculative and is not suitable for all investors. Many oil and gas investments have collapsed in recent months exposing investors to large losses. Please call our securities law firm toll free at (800) 975-4345 to speak to an attorney to find out how we may be able to help you recover some of your investment losses.