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David Radford Allegedly Failed to Fully Disclose Facts

David Radford (CRD #: 7272317), a broker registered with Pruco Securities, allegedly failed to fully inform a client, according to his BrokerCheck record, accessed on December 5, 2022. Investors may have also engaged his services through Prudential Financial Planning Services. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

In a dispute filed on September 27, 2022, an investor alleged David Radford failed to fully disclose facts about the client’s investment objectives and the suitability of investments. This dispute is currently pending.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of manipulative, deceptive, and otherwise unethical methods to influence investors’ decisions. The misrepresentation or omission of material facts violates this rule.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take into account investors’ financial goals when recommending investments. Brokers must consider the information contained in an investor’s profile, such as their tax status, risk tolerance, and other investments.

Investors who rely on brokers for investment recommendations can potentially recoup their losses by pursuing FINRA arbitration.

Background Information

David Radford has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination

David Radford is a registered broker in ten states and a registered investment adviser in Florida.

Kurta Law Can Help

If you worked with David Radford and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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