Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Grady (Grady), currently associated with Sequence Financial Specialists LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grady recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on May 17, 2024.
Respondent Sequence and its agents, including the Individual Respondents, represented themselves to the Claimants as an expert in investing as well as tax and retirement planning. Respondent touted the benefits of conservation easement investments as a reliable tax saving strategy. Claimants were assured that the conservation easement investments offered the best of both worlds.