The following summation information was found on FINRA’s website under “Disciplinary and Other FINRA Actions February 2015.” Call the Soreide Law Group, a Securities Arbitration Law Firm, at (888) 760-6552.
David Glenn Chapman (CRD #1702066, Holmdel, New Jersey)
was barred by FINRA for allegedly forging a deceased client’s signature on a document necessary to renew the client’s lapsed automobile insurance policy.
FINRA's findings stated that Chapman arranged for his assistant to pay the client’s outstanding premium on the policy; and as a result of reinstating the client’s policy, he earned a quarterly bonus of $325 from his member firm.
Also, FINRA stated that Chapman provided false information to FINRA concerning the renewal of the customer’s automobile insurance policy.
(FINRA Case #2014039785201)
According to FINRA's BrokerCheck, FINRA has permanently barred this individual from acting as a broker or otherwise associating with firms that sell securities to the public.
David G Chapman was registered in the securities industry for 25 years and was previously registered with the following securities firms:
06/1988 - 01/2014 PRUCO SECURITIES, LLC. (CRD# 5685) - MATAWAN, NJ
06/1988 - 12/1993 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD# 680) - NEWARK, NJ
02/1988 - 04/1988 F.D. ROBERTS SECURITIES, INC. (CRD# 693)
This ends the summation of information obtained on FINRA's website.
Call the Soreide Law Group for a free consultation with an attorney, 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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