RedFlag, Allegation and/or Complaint against DAVID ANDERSON GRANT
Disclosure #1 for DAVID GRANT
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- Event Date: 5/30/2018
- Disclosure Type: Regulatory
- Resolution: Final
- Initiated By: Georgia Dept of Banking and Finance
- Allegations: A state background was missed during licensing for a team member
- Resolution: Acceptance, Waiver & Consent(AWC) |Sanctions: Monetary Penalty other than Fines
- Broker Comment: I followed the licensing steps in State Farm, which linked to the state. I also followup the background checks when the team memver was hired. But there was an additional background check needed that I was unaware of.
Should I file a FINRA complaint against brokers like DAVID ANDERSON GRANT?
Many investors (presumably, like yourself) 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 lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally reported on November 17, 2022 @ 8:47 pm
