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Customer Alleges Steven Brodie Failed to Follow Instructions

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Steven BrodiePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that California-based Charles Schwab & Company broker Steven Brodie has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brodie (CRD# 1492095).

Steven Brodie has spent four years in the securities industry and has been registered with Charles Schwab & Company in Indianapolis, Indiana since 2013. He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 20, 2013, and Series 7 (General Securities Representative Examination), which he obtained on September 16, 2013. He is a registered broker with 51 US states and territories and with four self-regulatory organizations (SROs): Cboe Exchange Inc., FINRA, NYSE Arca Inc., and the Nasdaq Stock Market.

According to his BrokerCheck report, he has received one pending customer complaint.

In February 2018 a customer alleged Steven Brodie, while employed at Charles Schwab & Company, failed to follow instructions to exercise TerraForm Power, Inc. options in October 2017. The customer is seeking $285,600 in damages in the pending complaint.

According to Yahoo! Finance, TerraForm Power is a publicly traded company that “owns and operates clean power generation assets.” Its portfolio includes solar and wind energy projects in the United States, the United Kingdom, Canada, and Chile. TerraForm Power was previously known as SunEdison Yieldco; it is headquartered in Bethesda, Maryland and trades on the Nasdaq exchange under the symbol TERP.

If you have lost money investing with Steven Brodie, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.