John Grady Fired by Focus Securities

John Grady (CRD #: 6952341) has been fired by Focus Securities. This is according to his BrokerCheck record, accessed on April 9, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On March 21, 2024, John Grady was terminated by Focus Securities following allegations that he solicited prospects to engage in business with another company without prior notice or approval by the firm. 

FINRA Rule 3270 – Outside Business and Selling Away

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 3270 also violate this rule. 

Background Information 

John Grady has passed the following exams:

• Series 63 Uniform Securities Agent State Law Examination 
• Series 79 Investment Banking Registered Representative Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination

Kurta Law Can Help 

If you have worked with John Grady and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.