The Financial Industry Regulatory Authority (FINRA) contains new disclosures concerning securities broker Brant Christopher Ferguson (CRD#: 2230893, Dallas, Texas). Specifically, two investors filed disputes alleging sales practice violations at UBS Financial Services, who Ferguson joined in May 2019 as financial advisor and securities broker. Here's a summary of those disclosures.
It appears that a client of UBS Financial Services disputed Brant Ferguson's sales practices in April 2021. Mainly, the client alleges that Ferguson's management of the investment account from January 2021 to March 2021 did not align with the client's investment objectives and risk tolerance. As alleged in the complaint, the securities broker purportedly did not make decisions in the client's best interests. Moreover, the client alleges disclosure problems, including a potential transfer without the client's knowledge. For this reason, the client asked for compensation. However, UBS Financial Services denied this dispute.
Also, a client of UBS Financial Services disputed Brant Ferguson's sales practices regarding an options strategy. First of all, the client alleged in this March 2019 dispute that Ferguson provided an unsuitable recommendation. Basically, suitability concerns risk tolerance, investment objectives, and other criteria about an investor that financial advisors must consider in determining the appropriateness of investments. Secondly, the client alleged that Ferguson misrepresented information concerning the options overlay strategy. Supposedly, the client incurred damages from February 2017 to March 2019. However, this dispute is labeled as "withdrawn" on BrokerCheck.
Did Brant Ferguson cause you to experience losses? If so, call Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a potential recovery of your losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has recovered compensation for many United States investors who incurred losses because of their financial advisors and securities brokers. Please note that Ferguson denies all allegations of his sales practice violations.
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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