Vanguard Advisors, Inc. broker Brad Playford (CRD# 5501055) is accused of unsuitable investment recommendations. He has been registered with Vanguard Marketing Corporation in Charlotte, North Carolina, since 2008, and with Vanguard Advisors, Inc., since 2015.
Brad Playford Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
November 2022. “Client is alleging that the advisor did not make suitable recommendations based on their risk tolerance and investor profile. The dates of the alleged activity are June 16, 2021 through May 10, 2022.” The customer is seeking $150,000 in damages, and the case is currently pending. The complaint took place while he was an employee of Vanguard Group, Inc., but it was received through his affiliation with Vanguard Advisors, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Vanguard Advisors, Inc. may be liable for investment or other losses suffered by Brad Playford’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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