September 2018- Arden Hills, MN
The FINRA records of Dean Grossnickle, a stockbroker who formerly was employed by Gradient Securities disclose the settlement of a customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In April of 2015, a customer of Gradient Securities filed a customer complaint alleging the unsuitable sale of a fixed annuity and requested the rescission of the annuity contract a. The case was settled in the amount of $183,954 in 12/2015.
Dean Grossnickle was employed by Gradient Securities from 3/20145/2015. Prior employments include Regulus Advisors and American Portfolios Financial Services. He is not currently registered with any broker dealer.
If you have losses in an account handled by Dean Grossnickle, contact us for a no charge consultation to learn how you may be able to recover damages.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney, at no cost to you.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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