Investors might have sustained losses through securities broker Andrew Jon Galy (also known as Andy Jon Galy) [CRD: 1915564, Metairie, Louisiana], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Galy worked for Cambridge Investment Research Inc. from February 25, 2014, to December 31, 2022. Keep reading to find out more about the disclosures related to this securities broker.
Specifically, a Cambridge Investment Research Inc. client filed FINRA Arbitration No. 24-01746 about Andrew Galy. Evidently, the client claimed that Galy made unsuitable recommendations, charged high commissions, and failed to diversify the portfolio. Because of this, the client allegedly incurred damages linked to oil and gas investments and direct investments. As a result, on August 5, 2025, Cambridge Investment Research Inc. settled this matter by paying the client $12,500.00 in damages.
Particularly, a client of Cambridge Investment Research Inc. disputed Andrew Galy’s sales practices by filing FINRA Arbitration No. 22-01696. Allegedly, Galy gave unsuitable advice about oil and gas investments, direct investments, real estate securities, and stocks. Consequently, Cambridge Investment Research Inc. agreed to settle the matter on November 14, 2022, by paying compensation amounting to $23,000.00.
Evidently, on December 31, 2022, Cambridge Investment Research Inc. disaffiliated with Galy. Evidently, Cambridge Investment Research Inc. alleged that Galy altered client paperwork and reused client signature pages.
Additionally, a client filed a complaint about Andrew Galy. Primarily, the client alleged that Galy made unsuitable recommendations in junk bonds, which involved margin trading risks relating to mutual funds. For this reason, on February 27, 2004, Sisung Securities Corporation settled this matter by paying the client $37,000.00 in damages.
Are you concerned regarding investments you made with Andrew Galy? If so, reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney concerning your legal rights and options. Soreide Law Group has recovered losses for clients located throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. Galy and brokerage firms Galy worked for deny accusations referenced within these public disclosures.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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