Investors may have incurred losses due to securities broker Brian Scott Graham [CRD: 2581633, Plainfield, Illinois], as reported by the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Graham was previously employed with Cetera Advisor Networks LLC from September 3, 2013, to April 12, 2024, and with Tower Square Securities Inc. from June 23, 2010, to September 3, 2013. Continue reading to uncover further details about Graham's investor disputes.
Specifically, on April 11, 2024, Cetera Advisor Networks LLC in Plainfield, Illinois, ended their affiliation with Graham. Evidently, Graham resigned amid a client’s allegations that he made unauthorized ATM withdrawals.
Particularly, a client of Cetera Advisor Networks LLC contested Graham’s sales practices, according to a complaint dated March 2, 2024. Allegedly, Graham made unauthorized withdrawals. It appears that Graham allegedly caused the client to sustain damages. Because of this, the client sought compensatory relief from Cetera Advisor Networks LLC or Graham in the amount of $50,000 in this matter.
Also, a Mesirow Financial Inc. client filed FINRA Arbitration No. 06-00082 about Graham. Evidently, the client alleged that Graham made unsuitable recommendations. Therefore, on February 16, 2007, a FINRA Arbitration Panel issued an Award ordering $72,500 in damages.
Experienced losses because of Graham? If so, get in touch with Soreide Law Group or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors across the country, works on a contingency fee basis, and advances all costs. Graham and brokerage firms Graham worked for deny any allegations of sales practice violations.
Investors apparently complained about securities broker Devlin H. Dwyer. [CRD: 6634140, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dwyer worked for Patrick Capital Markets LLC from November 22, 2016, to March 9, 2026. See below to find out more about the disclosures involving this securities broker. Patrick Capital Investor […]
Investors have reportedly disputed the sales practices of securities broker Jennifer Lasser Eilers (also known as Jennifer Ann Costello and Jennifer Ann Lasser) [CRD: 2410129, Niles, Illinois], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jennifer Eilers worked for BMO Harris Financial Advisors Inc. from February 19, 2021, to March 24, 2021, […]
Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com