Investors have come forward with complaints about securities broker Julie Lan Cohen (also known as Julie Law) (CRD: 1424275, Camarillo, California). Evidently, the securities broker, who worked for Mutual Securities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Mutual Securities Inc. clients allege that Cohen breached a contract, breached a fiduciary duty, committed elder abuse, was negligent, made misrepresentations, failed to supervise certain representatives, violated state securities laws, and violated federal securities laws. For more on these disclosures about Cohen, see below.
Particularly, a client of Mutual Securities Inc. contested Julie Cohen’s sales practices by filing FINRA Arbitration: 19-00408. Allegedly, Cohen breached a contract, breached a fiduciary duty, committed elder abuse, was negligent, made misrepresentations, failed to supervise certain representatives, violated state securities laws, and violated federal securities laws. It appears that Cohen caused the client to sustain damages on penny stocks and over-the-counter equities. Therefore, FINRA Arbitrators issued an Award dated October 15, 2021 compelling Mutual Securities Inc. and Cohen to compensate clients collectively in the amount of $727,000.
Specifically, a client of Mutual Securities Inc. contested Julie Cohen’s sales practices by filing Civil Suit: 20-cv-3653 on December 15, 2020. Allegedly, Cohen breached a fiduciary duty, breached a contract, was negligent, made omissions, made misrepresentations, violated FINRA rules, and violated state securities laws. Supposedly, Cohen caused the client to sustain damages on over-the-counter equities. Therefore, the client seeks compensatory relief from Mutual Securities Inc. or Cohen in the amount of $500,000 in this ongoing matter.
Also, on August 1, 2019, a Mutual Securities Inc. client filed Civil Suit: 20-cv-02928-MEH about Julie Cohen. Namely, the client alleged that Cohen made misrepresentations, made omissions, breached a contract, breached a fiduciary duty, and was negligent. Because of this, the client allegedly sustained damages on over-the-counter equities. Therefore, the client requested compensation from Mutual Securities Inc. or Cohen.
Cohen joined Mutual Securities Inc. as a securities broker in January 2008. She has worked for Mutual Advisors LLC as a financial advisor since July 2013.
Sustained damages due to securities broker Julie Cohen? If you have, contact Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered money for investors within all 50 states, represents clients on a contingency fee basis and advances costs. Cohen and brokerage firms Cohen worked for deny any and all allegations 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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