BRADLEY WALTER MCGOWAN is currently employed as a Broker and/or Investment Adviser at PICKWICK CAPITAL PARTNERS, LLC located at 445 HAMILTON AVENUE, SUITE 1102, WHITE PLAINS, NY, 10601.
BRADLEY WALTER MCGOWAN has worked at PICKWICK CAPITAL PARTNERS, LLC since October 04, 2016
Disclosure History
BRADLEY WALTER MCGOWAN has 2 Disclosure Event(s).
Date: May 31, 1994 Category: Criminal Charges: I HAD BEEN CHARGED WITH A FELONY (THEFT BYDECEPTION) DURING THE COURSE OF AN INVESTIGATION. DEPENDING ONYOUR CLAIM, THE SIZE OF THE CLAIM (OVER $5,000), AND PREVIOUSCLAIMS, IT HAS BEEN NORMAL TO INVESTIGATE SUCH CLAIMS IN NEWJERSEY. THIS WAS NOT INVESTMENT RELATED. Charge Type: FELONY Disposition: ALMOST A NON-EVENT. BY COURT ORDER ANDPROSECUTORS, ALL MATTERS HAVE BEEN CANCELED AND MAY BE IGNORED.THE EVENT WAS DISMISSED FROM THE COURTS AND BY THE PROSECUTOR.VERIFICATION OF THEIR STATEMENT IS ATTACHED TO MY FILE. FULLDISCLOSURE HAS BEEN GIVEN AS WELL AS ALL PAPERWORK.10/2006: A)DISMISSED 8/30/94 AND LETTER FROM 5/30/94 TO ACCOMPANY PROOF FROM PROSECUTER'S OFFICE. B)8/30/94 C)NO SENTENCE-DISMISSED AND CANCELLED D)NO DURATION E) NO PENALTY F)& G) NO PENALTY AND $0.00 PAID. Broker Comment: DURING 1993, MY CAR WAS PARKED AND STOLEN IN NEWYORK CITY. BECAUSE OF THE SIZE OF THE CLAIM AND THE FACT THAT IHAD OTHER PREVIOUS "BREAK IN" CLAIMS IN THE PAST WITH MYINSURANCE COMPANY AND THE WAY MY REPORT WAS WRITTEN, ANINVESTIGATION RESULTED. HOWEVER, ON 8/30/94 THE CASE ANDCHARGES WERE CANCELED AND DISMISSED BY THE COURT ANDPROSECUTORS. ALL WRITTEN DOCUMENTATION HAS BEEN SUBMITTED FORVERIFICATION. MY PREVIOUS FIRM PAINEWEBBER WAS GIVEN FULLDISCLOSURE OF THIS FACT AS WELL AS THE STATE INSURANCE AGENCIESIN WHICH I CONDUCT BUSINESS FOR RENEWAL OF MY INSURANCELICENSES. I REMAIN IN GOOD STANDING AND HAVE PROPERLY RENEWEDMY LICENSES IN NJ, NY, PA, FL, AZ, MA AND NC. I HOPE TO GETTHIS OFF MY RECORD AND GET IT EXPURGED IN THE FUTURE.
Date: April 09, 1992 Category: Customer Dispute Allegations: CUSTOMER ALLEGED UNSUITABILITY REGARDINGSECURITIES PURCHASED WHILE INVESTMENT EXECUTIVE WAS EMPLOYED ATMERRILL LYNCH. CLIENT CLAIMED LOSSES OF $60,000.0010/2006 - 1992 EVENT, ALLEGATON WAS UNS Damage Amount Requested: $60,000.00 Settlement Amount: $50,000.00 Broker Comment: MERRILL LYNCH SETTLED WITHOUT MY KNOWLEDGE UNTILAFTER THE FACT FOR $50,000.00 TO AVOID FURTHER LITIGATIONINHERITED CLIENT FROM ANOTHER MERRILL LYNCHBROKER. CLIENT COMPLAINED OF PERFORMANCE OF HIS HOLDINGS INROCHESTER S&L. HE ASKED IF M/L RECOMMENDED ANY OTHER BANKS OFSIMILAR QUALITY. CHECKED RECOMMENDED LIST AND OFFERED HIMPERPETUAL FINANCIAL OUT OF WASHINGTON D.C. SOLD ROCHESTER BANKAT PROFIT AND BOUGHT PERPETUAL. AFTER I LEFT M/L TO GO TOGRUNTAL & CO. THE R&C CLOSED DOWN PERPETUAL FINANCIAL. M/LNOTIFIED ME THAT THEY SETTLED WITH CLIENT NO COST OR PENALTY TOME.
More Information
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