ARTHUR FRANCIS GRANT is currently employed as a Broker and/or Investment Adviser at CADARET, GRANT & CO., INC. located at ONE LINCOLN CENTER, 110 W. FAYETTE STREET, SYRACUSE, NY, 13202.
ARTHUR FRANCIS GRANT has worked at CADARET, GRANT & CO., INC. since November 16, 1988
Disclosure History
ARTHUR FRANCIS GRANT has 2 Disclosure Event(s).
Date: April 28, 2017 Category: Regulatory
Date: December 19, 1995 Category: Regulatory Initiated By: CONNECTICUT DEPT. OF BANKING Allegations: UPDATE TO OCCURRENCE #1 - SEE THAT OCCURRENCEFOR DETAILS. Resolution: Consent Sanction Details: 12/19/95 NOTICE OF INTENT TO SUSPEND REGISTRATIONAS AN AGENT (AMENDED ON 12/21/95) WAS RESOLVED BY WAY OF ACONSENT ORDER TO WHICH CADARET, GRANT & CO., INC. (CRD 10641)AND ARTHUR GRANT WERE PARTIES. THE SPECIFIC TERMS OF THECONSENT ORDER WERE DIRECTED TO THE FIRM, RATHER THAN TO MR.GRANT IN HIS INDIVIDUAL CAPACITY. THESE TERMS INCLUDED A$25,000 FINE; $15,000 REIMBURSEMENT FOR DEPT. INVESTIGATIVECOSTS; THE RETENTION OF AN INDEPENDENT CONSULTANT; A 120 DAYPROHIBITION ON THE REGISTRATION OF NEW CT LOCATIONS AS BRANCHOFFICES; AND THE FILING OF COPIES OF COMPLAINTS INVOLVING CTRESIDENTS WITH THE DEPT. PLEASE SEE ENTRY UNDER FIRM FOR MOREINFO. Broker Comment: CONSENT ORDER ATTACHED.
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