Broker Investigation: Sean Aaron Brady

Sean Aaron Brady (CRD#: 4365173) is a previously registered broker. From 2008 to 2017, Mr. Brady was employed at First Allied Securities in St. Louis, Missouri. Previously, this broker was also associated with FFP Securities.

On October 20th, 2017, Sean Aaron Brady was terminated from his position at First Allied Securities for alleged violations of firm policies and his failure to cooperate with an internal investigation into possible misconduct.

Here, our investment fraud attorneys offer a brief overview of six different investor complaints that have been filed since Mr. Brady’s termination. All six of these investor complaints are currently listed as ‘pending’ by FINRA.

Investor Complaints: Sean Aaron Brady

• A customer alleges that Mr. Brady made material misrepresentations and promoted unsuitable investments.
• A claimant alleges that Mr. Brady completed and submitted paperwork without permission. This investor is seeking $129,730.49 in compensation.
• A customer alleges that Mr. Brady falsified documents and made material omissions. This investor is seeking $685,000 in damages.
• A customer alleges that Mr. Brady made material misrepresentations and falsified documents. This investor is seeking $1,560,000 in compensation.
• A customer alleges that Mr. Brady forged documents, made material misrepresentations, and omitted material facts. This investor is seeking $1,360,000 in damages.
• A customer alleges that Mr. Brady made unsuitable investment recommendations. This investor is seeking $265,000 in compensation.

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