Bradley Claus Allegedly Engaged in Private Securities Transactions; Recommended RJ Oil & Gas as Investment While Engaging in Private Securities Transactions

Rochester stockbroker fraud attorney

From September 2010 through April 2013, Bradley Claus, formerly of Transamerica Financial Advisors, Inc., allegedly participated in private securities transactions with two customers of Transamerica Financial, and one non-firm customer without properly providing notice to and receiving approval from Transamerica Financial, according to an Amended Complaint from FINRA’s Department of Enforcement. Transamerica Financial, which reportedly… Read more »

Bradley Claus Allegedly Duped Married Couple into RJ Oil and Gas Investments and Claimed Justin Timberlake Had Invested in Southern Hospitality

investment fraud attorney Cleveland

Bradley Claus, formerly of World Group Securities, Inc. and Transamerica Financial Advisors, Inc., allegedly engaged in colorful and plentiful outside business misconduct, according to an Amended Complaint from FINRA’s Department of Enforcement. Claus allegedly solicited a married couple to invest $15,000 in RJ Oil and Gas Co. LLC under the auspices that certain tax benefits,… Read more »

Bradley Claus Sold Oil and Gas Investments Without Proper Notification, Allegedly

New Orleans stockbroker fraud lawyer

Between September 2010 and April 2013, Bradley Claus, formerly of World Group Securities, Inc. and Transamerica Financial Advisors, Inc., took part in securities transactions with two customers without providing notice to, and receiving approval from his member firm, and thus violated NASD and FINRA Rules, a FINRA Letter of Complaint alleges. The FINRA complaint also… Read more »