Sean Brady, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A. May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses | Sean Brady, Financial Advisor Barred from Securities Industry

From 2008 until Sean Brady’s discharge in 2017, Sean Brady was licensed with First Allied Securities, Inc. According to FINRA’s records, Sean Brady was discharged from First Allied Securities, Inc. on October 20, 2017. First Allied Securities, Inc. reported to FINRA that Sean Brady violated the firm’s policies pertaining to 1.) client alleged falsification of signature on documents; 2). Text message; and 3.) consolidated account reports.

Subsequent to Sean Brady’s discharge from First Allied Securities, Inc. FINRA investigated Sean Brady and brought a disciplinary action against Sean Brady. Sean Brady was barred from the securities and investment banking industry on June 8, 2018. FINRA reports that Sean Brady consented to the sanction and to the entry of findings that Sean Brady failed to provide FINRA with any of the information or documents requested during the course of an ongoing examination into possible sales practice violations committed by Sean Brady while registered with a FINRA member firm.

If you lost any money on investments with Sean Brady, you may be able to recover your losses from First Allied Securities, Inc. This is because First Allied Securities, Inc. had a duty to supervise Sean Brady.

If you lost money on investments with Sean Brady and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against First Allied Securities, Inc., concerning Sean Brady’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Our firm has a unique, unparalleled track record. Kalju Nekvasil, Esq., has not lost a securities arbitration case in more than 13 years. Goodman & Nekvasil, P.A. has recovered approximately $180 million on behalf of victimized investors. If you lost money on investments with Sean Brady and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.   

 

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