The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.”
Jonathan Gordon Sorensen (CRD #5031354, Registered Representative, Maitland, Florida)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Sorensen consented to the described sanction and to the entry of findings that he failed to appear for a FINRA on-the-record interview; and, subsequently, through his attorney, informed FINRA that he would not appear for an on-the-record interview. The findings stated that Sorensen’s appearance was requested as part of an investigation into his management of a limited partnership investment fund while associated with his member firm, and in particular, whether he had converted/misused investor funds and falsified documents in connection with his management of the fund. (FINRA Case #2013036459501)
According to FINRA's BrokerCheck, Jonathan Sorensen was previously registered with FINRA at the following brokerage firms:
COKER & PALMER
CRD# 29163
MAITLAND, FL
12/2005 - 04/2013
This ends the information obtained on FINRA’s website.
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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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