Investors potentially experienced sales practice violations by securities broker Francis Patrick Cunningham (also known as Fran Cunningham) [CRD: 2105075, Memphis, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cunningham worked for Stifel Nicolaus from April 4, 2025, to December 5, 2025, and later for B. Riley Wealth Management from November 14, 2025, to January 15, 2026. Keep reading to discover more about Cunningham’s disclosures and what they may mean for investors.
Specifically, on January 12, 2026, B. Riley Wealth Management disaffiliated with Cunningham. Particularly, B. Riley Wealth Management alleged that Cunningham provided false or misleading information concerning his termination at a former securities broker dealer.
Additionally, Stifel Nicolaus disaffiliated with Cunningham on November 6, 2025. Allegedly, Cunningham did not comply with order entry processes, which led the firm to cite a loss of confidence.
Evidently, on October 31, 2025, a Stifel Nicolaus client filed a complaint about Francis Cunningham. Mainly, the client alleged that Cunningham engaged in churning and made unauthorized purchases and sales of assets, including stocks and mutual funds. Because of this, the client allegedly sustained damages related to these investments. As a result, the client requested $18,469.04 in compensation from Stifel Nicolaus or Cunningham. The complaint is pending.
Do you have concerns or questions regarding investments you made with Francis Cunningham? Contact Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients located throughout the United States. Also, the firm represents investors on a contingency fee basis and advances all costs. Cunningham and brokerage firms Cunningham worked for deny accusations of 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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