Complaints Database Broker Name
Brian Clark
Complaints Database Employer
Cadaret, Grant & Co., Inc.
Complaints Database Allegations
Recently, a customer of Cadaret Grant & Co., alleged that their representative, Brian Clark was responsible for over $800,000 in losses due to excessive trading of inappropriate investments during Clark's time with Cadaret and Petersen Investments. Over the years, Clark has been the subject of a total of 8 customer complaints for excessive trading, negligence, unsuitable investments and unauthorized trading. Some claims have been settled, while FINRA has also awarded compensation to other complainants. Representative Clark was also terminated from his previous employer, Merrill Lynch.
Complaints Database Outcome
PENDING/SETTLED