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Norman Broad Has Received More Than Two Dozen Unsatisfied Tax Liens

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Norman Broad Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 31, 2018 indicate that New Jersey-based Cadaret Grant & Company broker Norman Broad has numerous unsatisfied tax liens. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Broad (CRD# 1016966).

Norman Broad has spent 36 years in the securities industry and has been registered with Cadaret Grant & Company in Red Bank, New Jersey since 1989. Previous registrations include MML Investors Services in Springfield, Massachusetts (1990-1997); Cadaret Grant & Company (1985-1989); and Nathan Lewis & Grant (1981-1985). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 13, 1994, and Series 7 (General Securities Representative Examination), which he obtained on October 17, 1981. He is a registered broker with eight US states: Connecticut, Florida, Georgia, New Jersey, New York, Pennsylvania, Texas, and Virginia.

According to his BrokerCheck report, he has received more than two dozen unsatisfied tax liens and one customer complaint that was closed.

In March 2018 the Internal Revenue Service filed a tax lien totaling $4,329 against him. The lien remains outstanding.

In December 2017 the Internal Revenue Service filed a tax lien totaling $30,870.23 against him. The lien remains outstanding.

In December 2017 the Internal Revenue Service filed a tax lien totaling $32,411.92 against him. The lien remains outstanding.

In December 2017 the IRS filed a tax lien totaling $14,905.69 against him. The lien remains outstanding.

In December 2017 the IRS filed a tax lien totaling $16,298.57 against him. The lien remains outstanding.

In December 2017 the IRS filed a tax lien totaling $19,965.73 against him. The lien remains outstanding.

In December 2017 the IRS filed a tax lien totaling $46,688.19 against him. The lien remains outstanding.

In December 2017 the IRS filed a tax lien totaling $35,951.12 against him. The lien remains outstanding.

In April 2017 the IRS filed a tax lien totaling $87,510.31 against him. The lien remains outstanding.

In 2007 a customer alleged Norman Broad, while employed at Cadaret Grant & Company, recommended an unsuitable variable universal life insurance investment. The customer sought $79,000 in damages in the complaint, which was closed.

If you or someone you know has lost money investing with Norman Broad, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.