Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Grigg (Grigg), currently associated with Fidus Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grigg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on May 12, 2025.
Claim for injunctive relief and declaratory judgment regarding collection of two judgments\, previously entered by Maricopa County Superior Court in connection with a 2014 asset\, purchase arrangement. Plaintiff, Fibers Plus, LLC, alleges fraudulent transfer, conversion,\, civil conspiracy, and alter ego liability. Mr. Grigg was not a named party in the related litigation\, leading up to this complaint. He is a named party in the current litigation in his capacity\, as the Managing Director and member of the investment committee of Fidus Investment Corp.