BRADFORD COOPER HAGERMAN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located at 333 S. PINEAPPLE AVE, SARASOTA, FL, 34236.
BRADFORD COOPER HAGERMAN has worked at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC since January 22, 2010
BRADFORD COOPER HAGERMAN has 4 Disclosure Event(s).
Date: May 07, 2010 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENTS WERE MADE IN A TRUST ACCOUNT FROM FEBRUARY 2003 TO DECEMBER 2004. Damage Amount Requested: $377,000.00 Broker Comment: I HAVE NO KNOWLEDGE OF THE CUSTOMERS. I HAVE NEVER TALKED TO EITHER OF THEM OR PLACED AN ORDER FOR THEM. I NEVER HELD ANY SUPERVISORY OR MANAGEMENT POSITION WHILE AT MERRILL LYNCH.
Date: July 06, 2006 Category: Customer Dispute Allegations: CLIENTS ALLEGE THAT FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENT RECOMMENDATIONS. Damage Amount Requested: $1,475,410.00 Settlement Amount: $60,000.00 Broker Comment: OVERALL, THE CLIENT AND HIS FAMILY HAD SUBSTANTIAL GAINS IN CONNECTION WITH THEIR PURCHASES OF ENZON STOCK. MERRILL LYNCH ULTIMATELY SETTLED THIS MATTER TO AVOID THE COSTS AND VAGARIES OF ARBITRATION. THE COMPLAINT IS BELIEVED TO BE WITHOUT MERIT.
Date: May 01, 1991 Category: Customer Dispute Allegations: CUSTOMER ALLEGED POOR RECOMMENDATIONS OFSTOCKS AND A COUPLE OF UNAUTHORIZED PURCHASES. CUSTOMERDEMANDED 50% OF HIS LOSSES, WHICH WOULD HAVE BEEN APPROXIMATELY65,000.00 Damage Amount Requested: $65,000.00 Settlement Amount: $28,000.00 Broker Comment: FIRM AGREED TO PAY CUSTOMER 28,000. THE F.A. HASNOT BEEN ASKED TO CONTRIBUTE TO THE SETTLEMENTTHIS SETTLEMENT WAS MADE WITHOUT MY PRIORKNOWLEDGE. THERE WAS NO JUSTIFICATION FOR THE SETTLEMENT BASEDON THE FACTS PERTAINING TO [CUSTOMER'S] INVESTMENT HISTORY ANDOBJECTIVES. THE TWO ALLEGED UNAUTHORIZED TRADES CAN BE SHOWN TOBE FALSE BASED ON CLIENTS CORRESPONDENCE & [CUSTOMER'S] COMMENTSMADE DURING MEETING WITH [THIRD PARTY], PAST MANAGER, AND MYSELF.
Date: November 01, 1987 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY DUTY, VIOLATION OF STATESTATUTES AND NEGLIGENCE, ALLEGED DAMAGES UNCALCULATED INCOMPLAINT. PLAINTIFF SOUGHT OVER $300,000.00 IN ACTUALS AT THETRIAL. Damage Amount Requested: $300,000.00 Damages Granted: $27,500.00 Broker Comment: AWARD OF $27,500.00 MR. HAGERMAN DID NOTCONTRIBUTE TO THE SETTLEMENT. MR. HAGERMAN WAS FOUND INNOCENTON ALL CHARGES - SEE ATTACHED VERDICT.NOT PROVIDED
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