The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Charles Bridgers. According to his publicly available FINRA BrokerCheck report, Charles Bridgers has been the subject of a FINRA sanction.

Charles Bridgers was a North Carolina based securities broker. He worked in the securities industry for thirty-four years. During his career, he was registered with three different securities firms. He is no longer working as a registered securities broker in any fashion.

His Registrations

  • Merrill Lynch (1984-1997)
  • First Union Capital Markets (1996-1999)
  • Wells Fargo (1999-2018)

The Allegations

Charles Bridgers was officially sanctioned by FINRA in October 2019. The findings in this matter state that Bridgers executed municipal bond transactions in a customer’s account without their authorization. This was because the customer in question passed away before the transactions were executed. Thus, Bridgers’ securities firm was able to determine that there was no way the customer could have authorized these transactions. Due to these alleged actions, Charles Bridgers was fined $10,000 and suspended from acting as a securities broker in any fashion for a period of three months.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Charles Bridgers, please contact Oakes & Fosher for a free and private consultation. We work on a contingency basis, which means there are no fees charged unless we collect for you