Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
Read MoreSean Brady: Complaints Against St. Louis Financial Advisor
Settled and pending investor complaints against former St. Louis, Missouri broker Sean Brady (CRD#: 4365173) allege conduct including suitability violations, fraud, misrepresentations, breach of fiduciary duty, and more. Brady is a former representative of First Allied Securities, according to information drawn from Financial Industry Regulatory Authority records.
A 2018 complaint alleged that as a representative of First Allied Securities, Sean Brady misrepresented the claimant’s net worth, completed paperwork on the claimant’s behalf without the claimant’s permission, and made misrepresentations and omissions of material facts. The complaint reached a settlement of $321,000.
A 2018 complaint alleged that as a representative of First Allied Securities, Sean Brady committed fraud, acted negligently, breached his fiduciary duty, and made unsuitable investment recommendations based on false account documents. The complaint reached a settlement of $1.3 million.
A 2018 complaint alleged that as a representative of First Allied Securities, he “made unsuitable investment recommendations on the basis of false account documents,” committed fraud, acted negligently, and breached his fiduciary duty. The complaint reached a settlement of $55,000.
A 2018 complaint alleged that as a representative of First Allied Securities, he committed fraud, acted negligently, breached his fiduciary duty, and made an unsuitable investment recommendation based on “false account documents.” The complaint reached a settlement of $75,000.
A 2018 complaint alleged that as a representative of First Allied Securities, he misrepresented the claimant’s net worth and completed paperwork without permission. The complaint reached a settlement of $62,500.
A 2018 complaint alleged that as a representative of First Allied Securities, he misrepresented the claimant’s net worth, made an unsuitable investment recommendation, misrepresented and omitted material facts, and completed paperwork on the claimant’s behalf without the her permission.The complaint reached a settlement of $274,000.
Sean Brady is currently not registered as a broker or investment advisor. In 2018, he was indefinitely barred by FINRA over findings he failed to provide information requested as part of an examination into possible sales practice violations. His employment history includes First Allied Securities in St. Louis, Missouri and FFP Securities in St. Louis, Missouri. He currently holds zero state licenses and has passed three securities industry qualification examinations.
