What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: December 10, 2015

Stoltmann Law Offices is investigating Bradley Smegal, a former Wells Fargo broker. The Financial Industry Regulatory Authority (FINRA) recently barred him from the industry. According to his BrokerCheck report, Smegal misrepresented material facts related to an investment, made unsuitable investment recommendations and sold securities away from his member firm, which is commonly referred to as “selling away,” and is when a broker recommends or sells a security away from his member firm in order to generate large commissions for himself. It is against securities rules and regulations.

Smegal was registered with Painewebber Inc., E.F. Hutton & Co., Shearson Lehman Hutton Inc., Blunt Ellis & Loewi Inc., Everen Securities, Dain Rauscher, Piper Jaffray & Co. and Wells Fargo in Minneapolis, Minnesota. He has six customer disputes against him, one of which is currently pending. He is not licensed and has been permanently barred from the industry. If you invested money with Bradley Smegal, please call our securities law firm in Chicago for a free consultation with an attorney. There is no obligation. We take cases on a contingency fee basis only.

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If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

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