February 2020- Milledgeville, GA
The FINRA records of Dean Harrison Grant , a former stock broker who last worked for M Holdings Securities, Inc. , disclose a regulatory event resulting in a bar from the securities industry, a pending felony criminal charge and three liens.
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 5/ 2019, Grant was permanently barred from the securities industry by FINRA for refusing to provide information and documentation requested by FINRA after allegations that he converted funds from customers, forged documents and failed to disclose certain liens on his Uniform Application for Securities Industry Registration.
In February 2019 , warrants were issued in in Georgia for the arrest of Dean Harrison Grant as a result of the allegations that he, committed: Felony Insurance Fraud, Theft by Taking (Fiduciary): Forgery in the first Degree and Trafficking of an Elder Person. The case is currently pending.
In October 2018 and December 2018, the State of Georgia filed tax liens totaling over $27,000 in Baldwin County Superior Court, Milledgeville, GA against Grant.
In October of 2017 the Internal Revenue Service filed a tax lien in the amount of $122,540 against Grant.
Grant worked for M Holdings Securities, Inc. from September 2014 until January 2019. He was with Grand Financial Group (his own business) , and NYLife Securities, Inc. before that time.
If you have questions about an account handled by Dean H. Grant call for a no charge consultation .
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.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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