Soreide Law Group is investigating possible investor claims against securities broker Andy Forrest (also known as Dallah Anderson Forrest Jr.) (CRD: 2224283, Greenville, SC). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Raymond James Associates Inc. Evidently, one or more investors alleged that Forrest mismanaged investment accounts. Here is a brief summary of the disclosures about Forrest.
Notably, on August 17, 2022, a Raymond James Associates Inc. client filed a complaint about Andy Forrest. Namely, the client alleged that Forrest mismanaged investment accounts. Because of this, the client allegedly sustained damages by investing in closed-end funds. Therefore, the client requested compensation from Raymond James Associates Inc. or Forrest. Evidently, this complaint is denied as of October 20, 2022.
Also, on June 29, 2022, Raymond James Associates Inc. disaffiliated with Forrest. Raymond James Associates Inc. alleged that Forrest made client loan arrangements.
Did you experience damages by investing with Andy Forrest? If so, reach out to Soreide Law Group at (888) 760-6552 and talk with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has effectively recovered money for hundreds of investors in the United States, is ready to review your situation and explain your legal options. Also, the firm represents clients on a contingency fee basis and advances all costs. Forrest and brokerage firms Forrest worked for deny any and all allegations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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