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Shaun Grimaldi Named in Dispute Seeking $4 Million in Damages

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
June 23, 2023 at 4:26pm

Shaun Grimaldi (CRD #: 4529021), a broker registered with E1 Asset Management, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on June 13, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

In a pending dispute filed on May 9, 2023, an investor alleged that Shaun Grimaldi engaged in misconduct. The client seeks $4 million in damages.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Shaun Grimaldi has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

Shaun Grimaldi is a registered broker in 12 states.

He has also worked for PHD Capital (CRD#:38785).

Kurta Law Can Help

If you worked with Shaun Grimaldi and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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. 

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