DID WILLIAM MICHAELL GRADY CAUSE YOU INVESTMENT LOSSES?
About William Grady of Sequence Financial Specialists?
William Grady (CRD #4585561) , located in Florence, South Carolina, is a seasoned broker with over 20 years of experience in the securities industry. He has been registered with Sequence Financial Specialists LLC since September 3, 2009, and is currently based in Florence, South Carolina. His previous employment includes Resource Horizons Group LLC (2007–2009). He has an extensive background in securities representation, investment banking, and operations, holding multiple approvals across categories since 2007. Grady holds registrations with one Self-Regulatory Organization (FINRA) and is licensed in all 51 U.S. states and territories. He has passed one Principal/Supervisory Exam, four General Industry/Product Exams, and one Multi-State Securities Law Exam.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
William Grady Customer Complaints and Reviews
William Grady has one pending customer dispute disclosed in his report:
- Details of Disclosure:
- Complaint: Claimants alleged misrepresentation and failure to adequately inform them about risks related to conservation easement investments, which were promoted as reliable tax-saving strategies.
- Date Filed: May 17, 2024
- Product Type: Conservation Easement Investments
- Alleged Damages: No specific amount is listed but Claimants seek compensatory damages, pre-judgment interest, attorneys’ fees, and model portfolio damages.
- Status: The case is pending under FINRA Case #24-01082.
Allegations Against William Grady
The reported disputes raise several concerns potential investors may consider:
The dispute involves complex allegations:
- Misrepresentation: Claimants contend they were misled about the nature and risks of conservation easement investments, which were promoted as tax-efficient strategies.
- Sophistication of Investors: The broker and firm argue that the claimants were knowledgeable investors, capable of understanding and managing risks, and independently endorsed the investment decision.
- Due Diligence and Compliance: The broker’s firm cites third-party due diligence reports and tax opinions affirming compliance with IRS qualifications for conservation easements.
William Grady Red Flags & Your Rights As An Investor
Of course, William Grady did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Grady at Sequence Financial Specialists on alert to review carefully the activity and performance of their accounts and question whether William Grady has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sequence Financial Specialists also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Sequence Financial Specialists Due To William Grady
If you have questions about Sequence Financial Specialists and/or William Grady and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
Rate this Post
Loading...