Securities Arbitration Lawyers BlogSummit Brokerage Services Broker Keith A. Bradley Under Investigation for Unsuitable Recommendations and Negligence Allegations
Silver Law Group is investigating Houston, Texas-based Summit Brokerage Services, Inc. (CRD# 34643) broker Keith A. Bradley (CRD# 868141) after a customer filed a FINRA arbitration alleging unsuitable recommendations and negligence.
According to Bradley’s FINRA BrokerCheck report, a customer filed a FINRA arbitration against Bradley in July 2016 alleging unsuitable investments, negligence, and $100,000 in damages.
In addition to the FINRA arbitration filing, Bradley has four other disclosures on his FINRA BrokerCheck report. The other four are all tax liens accrued in separate cases. His first came in 1989 and is for an unspecified amount. His second tax lien was in 1999 in the amount of $109,000. His third came three years later in 2002 in an amount of $108,000. His most recent tax lien was in 2011 in the amount of $400,000.