{"id":3056,"date":"2015-01-14T00:00:00","date_gmt":"2015-01-14T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-files-disciplinary-charges-against-bradley-claus-relating-to-an-oil-and-gas-company\/"},"modified":"2017-12-27T16:17:54","modified_gmt":"2017-12-27T21:17:54","slug":"finra-files-disciplinary-charges-against-bradley-claus-relating-to-an-oil-and-gas-company","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-bradley-claus-relating-to-an-oil-and-gas-company\/","title":{"rendered":"FINRA Files Disciplinary Charges against Bradley Claus Relating to an Oil and Gas Company"},"content":{"rendered":"<p><p>Bradley Claus, of Castle Rock, Colorado, was named a respondent in a FINRA complaint alleging that he participated in <a title=\"Selling Away (Private Securities Transactions)\" href=\"https:\/\/www.silverlaw.com\/private-securities-transactions-selling-away.html\" target=\"_blank\">private securities transactions<\/a> with three investors, in an oil and gas company, without receiving authorization from his member firm. The complaint alleges that the firm did not permit Claus to solicit or sell investments in the private securities transaction of the oil and gas company. The complaint also alleges that Claus made <a href=\"https:\/\/www.silverlaw.com\/misrepresentation-omission-of-material-facts.html\" target=\"_blank\">material misstatements of fact<\/a> to a customer in emails regarding a potential investment. Claus knew or was reckless in not knowing that his statements were false or misleading. Claus\u2019 firm did not offer or authorize him to solicit or sell the investments. Claus was previously registered with World Group Securities.\u00a0 FINRA further alleges that Claus avoided his firm\u2019s <a title=\"Failure to Supervise\" href=\"https:\/\/www.silverlaw.com\/failure-to-supervise.html\" target=\"_blank\">supervisory system<\/a> and procedures by using an unauthorized outside email account. Despite the firm\u2019s prohibition, Claus routinely used the personal outside email account to conduct securities business. Claus improperly used the firm\u2019s name, firm address and firm phone number in emails from his outside email account. Claus never notified the firm of this email account and prevented his firm from supervising his communications with the public from that email account. (<a href=\"http:\/\/disciplinaryactions.finra.org\/viewdocument.aspx?DocNB=38411\" target=\"_blank\"><strong>FINRA Case #2012033520801<\/strong><\/a>)<\/p>\n<p>If you invested money with Bradley Claus, you may be entitled to recover some of your investment losses.\u00a0 Oil and gas investments can be very speculative and is not <a title=\"Unsuitable Investment Advice\" href=\"https:\/\/www.silverlaw.com\/securities-arbitration\/finra-sales-practice-violations\/unsuitable-investment-advice\/\" target=\"_blank\">suitable<\/a> for all investors.\u00a0 Many oil and gas investments have collapsed in recent months exposing investors to large losses.\u00a0 Please call our <a href=\"https:\/\/www.silverlaw.com\/\" target=\"_blank\">securities law firm<\/a> toll free at (800) 975-4345 to speak to an attorney to find out how we may be able to help you recover some of your investment losses.<\/p><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Bradley Claus, of Castle Rock, Colorado, was named a respondent in a FINRA complaint alleging that he participated in private securities transactions with three investors, in an oil and gas company, without receiving authorization from his member firm. The complaint alleges that the firm did not permit Claus to solicit or sell investments in the [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[607,590,601],"tags":[],"class_list":["post-3056","post","type-post","status-publish","format-standard","hentry","category-failure-to-supervise","category-misrepresentation-and-omission-of-material-facts","category-oil-gas-fraud"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Files Disciplinary Charges against Bradley Claus Relating to an Oil and Gas Company &#8212; Securities Arbitration Lawyers Blog &#8212; January 14, 2015<\/title>\n<meta name=\"description\" content=\"Bradley Claus, of Castle Rock, Colorado, was named a respondent in a FINRA complaint alleging that he participated in private securities transactions with &#8212; January 14, 2015\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-bradley-claus-relating-to-an-oil-and-gas-company\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Files Disciplinary Charges against Bradley Claus Relating to an Oil and Gas Company &#8212; Securities Arbitration Lawyers Blog &#8212; January 14, 2015\" \/>\n<meta name=\"twitter:description\" content=\"Bradley Claus, of Castle Rock, Colorado, was named a respondent in a FINRA complaint alleging that he participated in private securities transactions with &#8212; January 14, 2015\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Files Disciplinary Charges against Bradley Claus Relating to an Oil and Gas Company &#8212; 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