Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that California-based Independent Financial Group broker/adviser Sean Agahi has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Agahi (CRD# 2448745).
Sean Agahi has spent 22 years in the securities industry and has been registered with Independent Financial Group in Folsom, California since August 2015. Previous registrations include First Allied Securities in San Ramon, California; Geneos Wealth Management in San Ramon, California; Securities America in La Vista, Nebraska; and Oak Brook Securities in Oakbrook Terrace, Illinois. He is a registered broker and investment adviser with Arizona, California, Nevada, and Texas.
According to his BrokerCheck report, Sean Agahi has received four customer complaints.
In 2012, a customer alleged Sean Agahi, while employed at First Allied Securities, breached contract, violated the Consumer Protection and Deceptive Trade Practices Acts, and violated state and federal securities laws. The complaint settled in 2013 for $100,000.
In 2010, a customer alleged Sean Agahi, while employed at Geneos Wealth Management, failed to notify her of account changes and failed to execute instructions. The complaint settled in 2008 for $25,000, to which Mr. Agahi individually contributed $25,000.
In 2007, a customer alleged Sean Agahi, while employed at Geneos Wealth Management, failed to timely make an investment. The complaint settled for $10,700.
In 2007, Sean Agahi was terminated from Valentine Capital Management following allegations that “promises were made to reimburse [a] client without legal or compliance approval.”
In 1998 a customer alleged Sean Agahi, while employed at Oakbrook Securities, breached his fiduciary duty, committed fraud, and acted negligently. The complaint settled in 1999 for $9,000, to which Mr. Agahi individually contributed $4,500.
If you or someone you know has lost money investing with Sean Agahi, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.