Brad Feldman: Stockbroker Misconduct Investigation – Latest Updates

San Antonio, Texas – An investigation is currently ongoing into San Antonio-based seasoned stockbroker Mr. Brad Feldman. Feldman is employed at Raymond James Financial Services and has been accused of professional misconduct.

  • Personal Profile
  • Full Name: Brad Jason Feldman
  • Raymond James Financial Services Advisors – Raymond James Financial Services
  • Trading as Security Service Investment Group
  • Former Associations: Cetera Investment Services
  • Occupation: Stock Broker/ Financial Advisor / Registered Investment Advisor
  • Brad Feldman
  • Location: San Antonio, Texas
  • CRD 2858061
  • FINRA arbitration lawsuit possibility: Yes
  • FINRA Sanctions : None applicable
  • Maximum Settlement or Award: $240,000
  • Current Customer Dispute. Seeking Damages up to $150,000

Potential Investment Frauds Under Scrutiny

There have been allegations that Mr. Feldman has suggested unsuitable and risky investments for his clients. In February 2023, a customer of Cetera Investment Services filed a Financial Industry Regulatory Authority arbitration requesting damages of $150,000. Brad Feldman is accused of promoting unsuitable investments in real estate. The case is still pending.

Cetera Investment Services settled a similar FINRA arbitral case involving Feldman with another customer for $240,000 in September 2023.

Previous Fraudulent Convictions

Feldman was accused by customers in 2021 of recommending REITs that were not suitable, resulting in $28,000 in damages. Cetera Investment Services dismissed this complaint and the customer did not pursue it.

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Feldman is accused of misconduct in handling customer accounts. Customers complained of receiving unsuitable recommendations for REITs.

Alternative Investments

Alternative investments are products other than traditional stocks, bonds or cash. Hedge funds, private capital and resources such as oil and gas and real estate (REITs) are often included in these types of investments. These types of investments are often less liquid, have poor regulation, higher fees and high risk.

FINRA has mandated that stockbrokers and brokerage companies report customer complaints and disputes as well as regulatory sanctions. The brokerage community must also be on the lookout for any significant changes in their financial situation. This includes personal bankruptcy claims, official judgements and liens.

Protect Your Rights, Investors

Investors who suffered losses due to Brad Feldman’s handling accounts are encouraged consult an experienced investment fraud lawyer. These specialists are familiar with the legal and industry standards, as well as the codes of conduct. This allows them to guide victims easily through the FINRA Arbitration process.

Haselkorn & Thibaut, P.A. Haselkorn & Thibaut, P.A. is a law firm that specializes exclusively in representing investors. They have a 95% success rate and are ready to recover your investment losses. Call 1-888-784 3315 or visit Schedule a complimentary consultation to find out how their experience can help you recover financial losses. You can be assured that your rights will always be protected to the fullest.

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