Broker Brian Graham Barred after Allegations of Fraud
According to FINRA on October 1, 2024, the regulator has reportedly barred financial advisor Brian Graham (CRD# 2581633) after he failed to provide information in its investigation.
FINRA was reportedly investigating Graham for allegations made in an amended Form U4 submitted by his member firm, Cetera Advisor Networks. According to the Form U4, a customer alleged that Graham made unauthorized ATM withdrawals.
FINRA BrokerCheck – Brian Graham
The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA.
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them.
Brian Graham reportedly has 2 customer complaints on his broker record. Graham was reportedly registered with the following brokerage firms during his career in the securities industry:
09/03/2013 – 04/12/2024 CETERA ADVISOR NETWORKS LLC (CRD#:13572)PLAINFIELD, IL
06/23/2010 – 09/03/2013 TOWER SQUARE SECURITIES, INC. (CRD#:833) NAPERVILLE, IL
05/23/2006 – 06/18/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174)NAPERVILLE, IL
Broker Due Diligence
Under the “Regulation best interest” standard, broker-dealers are obligated to perform due diligence when evaluating any investment. If your financial advisor fails to perform due diligence on an investment before recommending it to you, they could be held liable for investment losses.
If your advisor unsuitably recommended an investment offering and you lost money, the securities attorneys at The White Law Group may be able to file a complaint for you. You may be able to recover losses by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment.
Free Consultation with National Securities Attorneys
If you have suffered investment losses with Brian Graham and Cetera, the securities attorneys at the White Law Group may be able to help you. For a free consultation with a securities attorney, please call (888) 637-5510.
About the White Law Group
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases.
Our firm represents investors in all types of securities related claims, including claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, selling away, and unauthorized trading, among many others.
With over 30 years of securities law experience, The White Law Group has the expertise to help investors to recover their securities fraud losses.
Last modified: October 3, 2024
