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.
The oldest disclosure on Steven Graham's report involves a federal court case filed June 15, 2022. It carries case number 2:22-cv-04119 and lists Western International Securities as the firm. The product is a corporate or high-yield bond. BrokerCheck shows an award date of August 28, 2024 for the case.
On October 24, 2023, a customer filed a claim against Steven Graham listing misrepresentation and negligence. That case, docket 23-02801, also involved corporate or high-yield bonds and sought $100,000. Several months later, on May 1, 2024, it settled for $65,000. A settlement is not an admission of wrongdoing.
A misrepresentation claim says a broker described an investment inaccurately. Omission claims focus instead on facts a broker left out that a reasonable investor would want to know. With corporate bonds, those facts often include the issuer's credit quality and how easily an investor can sell the bond.
When we review a claim like this, we start with what the client heard at the time and what the offering documents said. The pending claim naming Steven Graham raises both kinds of allegation.
The customer filed this claim on August 11, 2026, under docket number 26-01783. According to BrokerCheck, the customer alleges the representative "misrepresented and omitted information" when recommending securities purchased in April of 2020. The claim seeks $100,000 and remains pending.
In a statement on BrokerCheck, Steven Graham denies any wrongdoing and says the allegations are "without merit." The statement says the investment was suitable for the customer's "objectives, goals and financial circumstances." It adds that the recommendation came only after a review of all material documentation.
Brokerage firms have a duty to supervise the brokers who work for them. If Steven Graham handled your account and you have questions, Soreide Law Group can go over it with you. Call (888) 760-6552 or contact us online. Because these claims go to FINRA arbitration rather than a local court, we handle them for investors nationwide. We work on a contingency fee basis. Here is how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of October 24, 2026. Allegations in customer complaints and arbitrations are claims, not findings. Pending claims remain open and undecided. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
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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