Soreide Law Group is investigating possible investor claims against securities broker Jeffrey Scott Graves (also known as Jeff Graves) (CRD: 1398578, Addison, Texas). Evidently, FINRA sanctioned the securities broker, who worked for FFEC Wealth Partners LLC. Allegedly, Graves failed to supervise. Here is a brief summary of FINRA’s allegations against Graves. Jeffrey Graves Suspended By […]

Broker Steve Whittaker Suspended By FINRA Over Alleged Outside Business Activities, Involved In FFEC Client Dispute Evidently, the Financial Industry Regulatory Authority (FINRA) issued a 3-month suspension and $5,000 fine to securities broker Stephen Leroy Whittaker (“Steve Leroy Whittaker”) (CRD#: 831764, Surprise, Arizona). Namely, Whittaker allegedly engaged in an outside business activity without telling First […]