Sean Grubb: Investor Seeks $580,000 in Complaint Against Northwest Investment Advisors Rep
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 26, 2019 indicate that Washington-based Northwest Investment Advisors broker/adviser Sean Grubb has received resolved or pending pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Grubb (CRD# 4110305).
Sean Grubb has spent 18 years in the securities industry and has been registered with Northwest Investment Advisors in Spokane, Washington; Missoula, Montana; and Deer Lodge, Montana since 2004. Previous registrations include Foresters Securities in San Diego, California (2001-2003) and Pruco Securities in Newark, New Jersey (2000). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 21, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 17, 2000; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on March 24, 2000; Series 53 (Municipal Securities Principal Examination), which he obtained on March 11, 2011; and Series 24 (General Securities Principal Examination), which he obtained on May 17, 2007. He is a registered broker and investment adviser with 11 US states and territories: Arizona, California, Colorado, Georgia, Idaho, Montana, Oregon, Texas, Virginia, Washington, and Wyoming.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.
In May 2019 a customer alleged Sean Grubb, while employed at Northwest Investment Advisors, had supervisory duties over a representative who made allegedly unsuitable investment recommendations. The customer is seeking $580,000 in damages in the pending complaint.
In 2017 a customer alleged Sean Grubb, while employed at Northwest Investment Advisors, acted professionally negligent, committed fraud, negligently misrepresented material facts, breached his fiduciary duty, violated the Securities Act of Washington, and was negligent in his supervisory duties. The complaint resulted in an award to the customer of $360,000.
If you have lost money investing with Sean Grubb, you may be entitled to recoup your losses. Call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.