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.
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