Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures.
Specifically, on April 20, 2026, a Northwestern Mutual Investment Services LLC client filed a complaint about Cooper Carden. Primarily, the client raised forgery-related allegations, contending that a signature appearing on a dividend option request form was not his and that he had never seen or reviewed the document. Because of this, the client allegedly sustained damages connected to life insurance products. Therefore, the client requested compensation from Northwestern Mutual Investment Services LLC or Cooper Carden.
Notably, a client of Northwestern Mutual Investment Services LLC contested Cooper Carden’s sales practices, according to a complaint dated March 31, 2026. Allegedly, Carden was the subject of forgery-related and misrepresentation allegations. Specifically, the client alleged that signatures appearing on multiple life insurance application documents were not his and that the broker misrepresented the purpose of applying for a variable insurance policy. It appears that Carden allegedly caused the client to sustain damages. As a result, the client sought compensation from Northwestern Mutual Investment Services LLC or Carden in the amount of $48,000 in this matter. The firm settled this matter on May 22, 2026, for $49,218.57.
Additionally, on March 24, 2026, a Northwestern Mutual Investment Services LLC client filed a complaint about Cooper Carden. Mainly, the client alleged that the client alleged that paperwork for a non-variable insurance transaction contained a signature that was not his and that the transaction had not been authorized. For this reason, the client allegedly sustained damages. Consequently, the client requested compensation from Northwestern Mutual Investment Services LLC or Carden. The firm ultimately reversed the transaction, and the matter was closed on April 8, 2026.
Evidently, Northwestern Mutual Investment Services LLC disaffiliated with Carden on March 2, 2026. Allegedly, Carden was allowed to resign during an internal review after acknowledging that he placed client signatures on three non-variable insurance applications. According to the disclosure, certain clients stated they neither knew about nor approved the related transactions.
Did you experience losses because of Cooper Carden? Get in touch with Soreide Law Group at (888) 760-6552 or online and speak to a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for many clients throughout the United States. Also, our securities lawyers work on a contingency fee basis and advance all costs. Carden and brokerage firms Carden worked for deny accusations 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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