DID BRIAN SCOTT GRAHAM CAUSE YOU INVESTMENT LOSSES?
Brian Graham Formerly With Cetera Advisor Networks LLC Has 2 Customer Complaints For Alleged Broker Misconduct
About Brian Graham formerly with Cetera Advisor Networks LLC?
Brian Graham (CRD #2581633) is no longer registered as a securities broker. He was most recently employed with Cetera Advisor Networks LLC from September 2013 to April 2024. Prior to that, he worked for firms including Tower Square Securities, Inc., UBS Financial Services Inc., and Mesirow Financial, Inc. He was involved in both investment advising and financial services and had a long time in the industry, working in Plainfield, Illinois, and Naperville, Illinois. Over his career, Graham passed two general industry/product exams and two multi-state securities law exams. Graham voluntarily resigned from Cetera Advisor Networks amid allegations of unauthorized activity.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Brian Graham Customer Complaints and Reviews
Brian Graham has two customer disputes, and a job termination.
- Customer Dispute 1: In February 2007, an arbitration case was filed against Graham for recommending unsuitable transactions involving listed equity. The case, related to activities at Mesirow Financial, was settled with an award to the customer of $72,500.
- Customer Dispute 2 (Pending): A client filed a complaint in March 2024 with Cetera Advisor Networks LLC, alleging unauthorized ATM withdrawals. The client is seeking $50,000 in damages, and the case is pending.
- Job Termination: Graham voluntarily resigned from Cetera Advisor Networks in April 2024 following the allegations of unauthorized ATM withdrawals made by a client.
Allegations Against Brian Graham
- In 2007, a customer accused Graham of recommending unsuitable transactions in listed equities. The case was arbitrated, and the customer was awarded $72,500.
- In a more recent complaint of March 2024, another client alleged unauthorized ATM withdrawals, with $50,000 in damages claimed. The case is still pending.
Brian Graham Red Flags & Your Rights As An Investor
Of course, Brian Graham did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brian Graham at Cetera Advisor Networks LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Graham has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Cetera Advisor Networks LLC Due To Brian Graham
If you have questions about Cetera Advisor Networks LLC and/or Brian Graham and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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