Securities Arbitration Lawyers BlogSan Francisco, California Broker Stephen D. Grant Under Investigation After FINRA Bar
Silver Law Group is investigating former San Francisco, California-based broker Stephen D. Grant (CRD# 2447319) after FINRA permanently barred him.
According to Grant’s FINRA BrokerCheck report, FINRA permanently barred Grant from acting as a broker or otherwise associating with firms that sell securities to the public after Grant failed to respond to a FINRA inquiry in July 2016.
Grant, who was most recently employed by Security Research and Associates, Inc. (CRD# 8200), was suspended by FINRA in 2013 after he failed to comply with an arbitration award or settlement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.