There was a recent report in the Wall Street Journal that former Nebraska football players, Steve Octavien and Marlon Lucky, accepted gifts from financial advisor, MARY R. WONG (CRD# 1745747), while they were at Nebraska. This was in an article about financial advisors who take advantage of athletes. Steve Octavien and brothers Daniel and Josh Bullocks, claim they lost hundreds of thousands of dollars which they earned during their professional football careers.
Wong was banned by the New York Stock Exchange panel in 2007 for defrauding two widowed clients out of $150,000. In 2010, Wong pled guilty to securities fraud. Mary Wong is now serving a 63-month sentence in a federal prison.
Wong was registered with First Investors Corp. and Wells Fargo until 2004. She solicited several of the Nebraska football players during their careers. Octavien reported that his scholarship was not enough to cover all of his living expenses, so he went to Wong for help.
Daniel Bullocks said there were many financial advisors offering players gifts and cash, and many players felt they were being groomed as future clients after leaving Nebraska and possibly signing on as a professional player. Marlon Lucky did not invest with Wong after his playing career was over, however, Octavien and the Bullocks brothers did invest with Wong only to lose their investment.
Mary R. Wong was previously registered with the following securities firm(s):
12/2000 - 08/2004 WELLS FARGO INVESTMENTS, LLC (CRD# 10582) - SAN FRANCISCO, CA
12/2000 - 08/2002 WELLS FARGO BROKERAGE SERVICES, L.L.C. (CRD# 16100) - MINNEAPOLIS, MN
06/2000 - 05/2001 WELLS FARGO SECURITIES INC. (CRD# 17438) - SAN FRANCISCO, CA
05/2000 - 12/2000 WELLS FARGO BROKERAGE SERVICES, L.L.C. (CRD# 16100) - MINNEAPOLIS, MN
10/1987 - 05/2000 FIRST INVESTORS CORPORATION (CRD# 305) - NEW YORK, NY
If you have experienced a financial loss due to Mary R. Wong, call Soreide Law Group for a free consultation with an attorney on how to potentially recovery your investment losses at: 888-760-6552.
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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