Soreide Law Group is currently investigating potential claims on behalf of investors who have incurred losses due to James Floyd Garraway III (also known as Trey Garraway) (CRD: 7132872, Hattiesburg, Mississippi). Garraway worked for Thrivent Investment Management Inc. from November 15, 2019, to January 12, 2022. Specifically, FINRA sanctioned him for alleged forgery and record-keeping violations, which resulted in a fine and a temporary suspension. Additionally, Thrivent Investment Management Inc. disaffiliated with Garraway on December 20, 2021, over policy violations related to e-signatures on various financial products.
Evidently, on July 26, 2023, FINRA issued Case: 2022073783401 sanctioning James Garraway for infractions. Allegedly, Garraway electronically signed client names on approximately 101 forms associated with insurance and securities products without the clients' consent. Moreover, Garraway signed a document for a client with the client's permission. Consequently, Garraway caused his employing firm, Thrivent Investment Management Inc., to maintain inaccurate records.
In the case about Garraway, the sanction included a fine of $5,000 and a six-month suspension, effective from August 7, 2023, to February 6, 2024.
Also, on December 20, 2021, Thrivent Investment Management Inc. disaffiliated with Garraway. Particularly, Thrivent alleged that Garraway failed to collect authentic signatures on certain client documents over e-signature related to fixed annuities, insurance products, and mutual fund products.
Garraway's statement suggests that he was trying to accommodate clients' difficulties with technology during the pandemic. He purportedly obtained verbal consent for signing the documents after reviewing them with clients over phone or video calls.
Did you experience losses because of James Garraway? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered money for investors throughout the United States, works on a contingency fee basis, and advances all costs. Garraway and brokerage firms he 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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