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Josh Bradley: $100K Complaint Against Ex-Voya Advisor
Columbia, South Carolina financial advisor Josh Bradley (CRD# 5174430) recently received an investor complaint alleging that he recommended an unsuitable investment. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Voya Financial advisor is currently registered with Capital City Financial Partners.
Mr. Bradley’s BrokerCheck report discloses one investor complaint. Filed in November 2023, it alleges that as a representative of Voya Financial, he failed to disclose the risks and illiquid nature of an unsuitable non-traded business development company (BDC) investment. The pending complaint alleges damages of $100,000.
A second disclosure on his BrokerCheck report concerns a FINRA sanction against him. Filed in 2017, it alleged that he “he placed eight trades in five customer accounts with a member firm he was no longer associated with,” and further that he did not inform his member firm of the accounts in question. FINRA’s findings state specifically that after he departed the former firm, “he improperly used his log-in credentials to access the firm’s trading platform and enter seven trades.” Following the termination of these credentials, FINRA found, he allegedly “used another registered representative’s log-in credentials to place another trade.” The findings add that he received no commissions for these trades and that the customers were not harmed. In connection with these findings, he was suspended for six months and issued a fine of $15,000.
According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Josh Bradley holds 17 years of securities industry experience. Based in Columbia, South Carolina, he has been an investment advisor with Integrated Advisors Network since 2018. He has been an advisor with Capital City Financial Partners, an affiliated advisory firm in the Integrated Advisors Network, since 2016. His past registrations include Hayden Royal, Merrill Lynch, Voya Financial, Gunnallen Financial, First Allied Securities, and Edward Jones. His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in California and South Carolina. (Information current as of December 15, 2023.)
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