Aaron Graham Tied To United Planners’ Financial Services Investor Complaint About Negligence

Investors apparently complained about securities broker Aaron Brian Graham [CRD: 3167246, Scottsdale, Arizona], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Aaron Graham worked for United Planners’ Financial Services of America A Limited Partner beginning August 2, 2005, and has also been registered with AG Financial since April 19, 2006. Continue reading to discover more about disclosures involving this securities broker.

United Planners Investor Accused Graham Of Breach Of Fiduciary Duty

Specifically, a United Planners’ Financial Services of America A Limited Partner client filed FINRA Arbitration No. 23-00724 concerning Aaron Graham. Primarily, the client alleged that Graham breached his fiduciary duty, made unsuitable recommendations, was negligent, violated state securities laws, violated FINRA rules, and breached advisory and brokerage agreements. Because of this, the client allegedly sustained damages related to exchange traded funds. As a result, on April 16, 2024, United Planners’ Financial Services of America A Limited Partner settled this matter by paying the client $1,950,000 in damages.

United Planners’ Financial Services Of America Investor Accused Aaron Graham Of Unsuitable Recommendations

Notably, on September 7, 2021, a United Planners’ Financial Services of America client filed a complaint about Aaron Graham. Primarily, the client contested Graham’s sales practices by filing FINRA Arbitration No. 21-02990. Allegedly, Graham made unsuitable recommendations. It appears that Graham allegedly caused the client to incur damages connected to exchange-traded funds. Consequently, United Planners’ Financial Services of America opted to settle the matter on December 21, 2022, by compensating the client in the amount of $850,000.

United Planners Financial Services Of America Investor Accused Graham Of Unsuitable Advice

Evidently, on April 2, 2019, a United Planners Financial Services of America client filed a complaint about Aaron Graham. Mainly, the client alleged that Graham made unsuitable recommendations. For this reason, the client allegedly experienced damages relating to variable annuities and exchange-traded funds. Therefore, the client requested $473,911 in compensation from United Planners Financial Services of America or Graham. However, the firm denied this complaint.

Did You Invest With Financial Advisor / Securities Broker Aaron Graham?

Did you suffer any investment-related losses because of Aaron Graham? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk to a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. Graham and brokerage firms Graham worked for deny allegations of sales practice violations.