Investor Alert > Broker Brandon Rudolph Investigation in the Wake of Customer Disputes
Posted Nov 15, 2021
by Alan Rosca

Broker Brandon Rudolph Investigation in the Wake of Customer Disputes

BROKER BRANDON RUDOLPH INVESTIGATION IN THE WAKE OF CUSTOMER DISPUTESThe securities lawyers at the Rosca Scarlato LLC law firm attorney are investigating the circumstances related to certain customer disputes involving broker Brandon Rudolph, also known as Brandon Carl Rudolph, alleging unsuitable investment recommendations, among others, as reported on his FINRA Brokercheck page.

Securities lawyer Alan Rosca of the Rosca Scarlato LLC law firm, and his colleagues, are investigating conduct related to recent customer disputes filed against broker Brandon Rudolph. Investors who are concerned about their investments with Rudolph may contact attorney Rosca for a free, no-obligation consultation and discussion of potential options, or to provide any useful information. Interested Brandon Rudolph investors may call 888-998-0530, send an email to arosca@rscounsel.law, or through the contact form on this webpage.

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Customer Disputes Allege Unsuitability, Among Others Involving Brandon Rudolph

Rudolph has a customer dispute repoted on his FINRA Brokercheck page as filed in February 2021 The dispute is alleging negligence, unsuitable investment recommendation, and breach of fiduciary duty in connection to a private placement. The customer is seeking $748,294 for the alleged damages.

Another customer filed a dispute in February 2021 alleging unsuitable investment recommendation, breach of fiduciary duty, negligence, and violation of California corporate securities laws was settled in June 2021 for $24,500, the Brokercheck reports. According to the disclosure, the dispute has been in connection with a private placement while Rudolph was registered with WealthForge Securities, LLC.

In addition, one customer received a settlement of $30,000 in February 2021 on allegations of engaging in private securities transaction away from Chelsea Financial Services.  The dispute was originally filed with FINRA in January 2021 and was in connection with a promissory note, FINRA Brokercheck reports.

In November 2021, a customer alleged selling away without the knowledge of the broker dealer Chelsea Financial Services. The dispute was reportedly in connection with a promissory note and the customer alleged $96,500 in damages. The status of the dispute is shown as denied, according to FINRA Brokercheck Report.

Brandon Rudolph Was Barred by FINRA and Nevada Regulators in 2018

According to a FINRA’s Letter of Acceptance Waiver and Consent (AWC), broker Brandon Rudolph accepted and consented to a FINRA sanction in May 2018, without admitting or denying the findings. According to FINRA, broker Brandon Rudolph allegedly refused to provide information requested by FINRA in connection with their investigation of Rudolph’s possible participation in private securities transactions away from his FINRA member firm.

As a result, Rudolph was barred from associating with any FINRA member firm in all capacities, as stated in the AWC.

In August 2018, the state of Nevada barred broker Brandon Carl Rudolph from association with a licensed broker-dealer or investment adviser in the state of Nevada in connection to his FINRA bar in May 2018, as stated on Rudolph’s FINRA Brokercheck page.

Brandon Rudolph Has Been A Member of Securities Industry Since 2014

Rudolph allegedly joined the securities industry in 2014 and switched employers two times before he was barred by FINRA in 2018, according to this FINRA Brokercheck page.

He was previously registered with Wealthforge Securities located in Las Vegas, Nevada from January 2017 until September 2017. He was also registered with Chelsea Financial located in Las Vegas from December 2014 until December 2016.

Broker Brandon Rudolph’s first employer was Capital City Securities located in Powell, Ohio from August 2014 until November 2014, as reported on his Brokercheck page.

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.

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Potential Options for Brandon Carl Rudolph Investors

The investor rights attorneys of the Rosca Scarlato LLC law firm often advise and represent investors who are victims of broker misconduct and they are currently investigating multiple customer disputes involving broker Brandon Carl Rudolph alleging unsuitability, among others.

The firm takes most cases of this type on a contingency fee basis and advances the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors in cases ranging from arbitrations to class actions.

Investors who are concerned about their investment with broker Brandon Rudolph may contact attorney Alan Rosca for a free, no-obligation case evaluation by calling 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

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DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

Contact us at 888‑998‑0530 or through the contact form on this page.
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