CURTIS FRANKLIN BRADBURY is currently employed as a Broker and/or Investment Adviser at STEPHENS located at 111 CENTER STREET, LITTLE ROCK, AR, 72201.
CURTIS FRANKLIN BRADBURY has worked at STEPHENS since April 30, 1995
Disclosure History
CURTIS FRANKLIN BRADBURY has 1 Disclosure Event(s).
Date: December 26, 1985 Category: Customer Dispute Allegations: PLAINTIFF ALLEGES VIOLATION OF SECTION 10(B)OF THE SEC EXCHANGE ACT OF 1934 & RULE 10B-5 PROMULGATEDTHEREUNDER IN CONNECTION WITH PLAINTIFF'S PURCHASE OR SALE OFSECURITIES. PLAINTIFF FURTHER ALLEGES VIOLATIONS OF SEC 20(A)OF THE EXCHANGE ACT, SEC 12(2), 15 & 17(A) OF THE SEC ACT OF1933, UNAUTHORIZED TRADING, UNSUITABILITY, VIOLATION OF RICO,BREACH OF CONTRACT, DECEIT, FRAUDULENT MISREPRESENTATION,CONVERSION OF PROPERTY, NEGLEG MISREPRESENTATION, SEC FRAUD Damage Amount Requested: $1,500,000.00 Settlement Amount: $590,000.00 Broker Comment: LAWSUIT WAS DISMISSED WITH PREJUDICE. ALLMATTERS IN DISPUTE BETWEEN THE PARTIES HAVE BEEN RESOLVED.STEPHENS INC., WHILE EXPRESSLY DENYING ANY LIABILITY ORWRONGDOING ON THE PART OF STEPHENS OR THE OTHER NAMED PARTYDEFENDANTS, AGREED TO PAY THE PLAINTIFF $590,000.MR. BRADBURY HAD BEEN NAMED AS A DEFENDANT SOLELYBECAUSE HE WAS AN OFFICER OF STEPHENS. MR. BRADBURY HAD NOINVOLVEMENT IN ANY OF THE CIRCUMSTANCES GIVING RISE TO THISLITIGATION. MR. BRADBURY CONSIDERED THE ALLEGATIONS OF THEPLAINTIFF TO BE WITHOUT MERIT AND HE DID NOT PARTICIPATE IN NORWAS HE REQUIRED TO CONTRIBUTE TOWARD ANY SETTLEMENT.
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