Investors potentially experienced sales practice violations by securities broker Steven Charles Flahive [CRD: 2674387, San Francisco, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Steven Flahive worked for Wells Fargo Clearing Services LLC from January 21, 2016, to January 3, 2024. Investors are encouraged to continue reading to discover more about Steven Flahive’s disclosures.
Specifically, a Wells Fargo client filed FINRA Arbitration No. 23-03518 about Steven Flahive. Primarily, the client alleged that Flahive charged excessive commissions by no longer following an agreement about commissions, which allegedly resulted in overcharges. For this reason, the client allegedly sustained damages. As a result, on December 12, 2024, a FINRA Arbitration Panel issued the client an Award of $300,987 in damages.
Particularly, a client of Credit Suisse Securities (USA) LLC contested Steven Flahive’s sales practices, according to a complaint dated March 23, 2016. Allegedly, Flahive made unsuitable recommendations and omissions. The client also alleged a corporate bond purchase was made without her authorization. It appears that Flahive allegedly caused the client to sustain damages associated with the corporate bonds. Therefore, the client sought compensation from Credit Suisse or Flahive in this matter. However, the firm denied this complaint.
Do you need clarification on any investment losses relating to Steven Flahive? Reach out to Soreide Law Group at (888) 760-6552 or online and speak to a securities lawyer regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the country. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Flahive and the brokerage firms Flahive worked for deny 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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