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Brian Radoo Formerly With Union Capital Company and Next Financial Group, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct

Who is Brian Radoo formerly Union Capital Company?

Brian Radoo

Brian Radoo (CRD #2558458) who was formerly registered with Union Capital Company and located in Tucson, Arizona, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Union Capital Company, Brian Radoo was associated with Next Financial Group, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Radoo has had his own regulatory problems. In 2020 he consented to the sanction and to the entry of findings that it refused to provide information and documents requested by FINRA in connection with an investigation into whether he engaged in an undisclosed outside business activity. As a result, he was permanently barred for many further association with any FINRA member firm in any capacity.

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Brian Radoo Customer Complaints

Brian Radoo has been the subject of 9 customer complaints that we know about seeking to recover investment losses. Four of the customer complaints were settled by the advisors’ former employers favor the investors. The brokerage firms denied 3 other customer complaints in the investors took no further action. There are currently 2 FINRA arbitration proceedings that were recently filed and still pending against Financial Group for Brian Radoo’s alleged misconduct.

Allegations Against Brian Radoo

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • Recommendation of investment outside brokerage firm and cannabis cultivation company in violation of FINRA rules.
  • Unsuitable recommendation of fixed annuity.
  • Unauthorized addition to investment and fixed annuity.
  • Unsuitable recommendation the misrepresentation related to liquidity of an auction rate security.
  • Failure to follow client’s instructions.
  • Unsuitable recommendation for IT investment.
  • Unsuitable recommendation of investments in non-traded real estate investment trusts.

Brian Radoo Red Flags & Your Rights As An Investor

Of course, Brian Radoo did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brian Radoo at Union Capital Company and Next Financial Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brian Radoo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Union Capital Company and Next Financial Group, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Union Capital Company Due To Brian Radoo

If you have questions about Union Capital Company, Next Financial Group, Inc. and/or Brian Radoo and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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