Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that former Missouri-based First Allied Securities broker/adviser Sean Brady, who is involved in a pending customer dispute, was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brady (CRD# 4365173).
Sean Brady has spent 16 years in the securities industry and was most recently registered with First Allied Securities in St. Louis, Missouri (2008-2017). He was previously registered with FFP Securities in St. Louis, Missouri (2001-2008). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 2, 2001, and April 7 (General Securities Representative Examination), which he obtained on March 22, 2001. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one pending customer complaint and was terminated from a former employer in connection to alleged rule violations.
In October 2017 a customer alleged Sean Brady, while employed at First Allied Securities, signed her name on documents, mislead her, and placed her in unsuitable investments. The customer is seeking unspecified damages in the pending complaint.
In October 2017 he was terminated from his position at First Allied Securities following allegations he violated firm policies regarding the falsification of signatures on documents, text messaging, and consolidated account reports.
If you have complaints regarding Sean Brady, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recover your losses. All cases are taken on a contingency basis: we only get paid if and when you collect money. The law sets a limited window to file complaints, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.