DID AARON BRIAN GRAHAM CAUSE YOU INVESTMENT LOSSES?
Aaron Graham Of United Planners’ Financial Services of America, A Limited Partner Has 4 Customer Complaints For Alleged Broker Misconduct.
About Aaron Graham of United Planners’ Financial Services of America, A Limited Partner?
Aaron Graham (CRD #3167246) has been in the securities industry since 1999 and is currently employed with AG Financial (since March 2006) and United Planners’ Financial Services of America (since August 2005). He holds licenses in 14 U.S. states and territories and is registered with one self-regulatory organization (FINRA). Mr. Graham has passed two principal/supervisory exams, two general industry/product exams, and two state securities law exams. Mr. Graham’s career includes prior registrations with firms such as G2 Financial Group, Raymond James Financial Services, and UBS Financial Services. In addition to his securities work, he operates as an independent insurance agent and has been involved in multiple business ventures under the AG Financial brand.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Aaron Graham Customer Complaints and Reviews
Five customer disputes were noted, including three settled disputes, one dismissed dispute and one pending dispute
- Settled Dispute #1
- Complaint: Violations of the Utah Securities Act, fraud, unsuitability, and breach of fiduciary duty related to exchange-traded funds.
- Claimed Damages: Not specified.
- Settlement Amount: $1,950,000 (Mr. Graham contributed $50,000).
- Settled Dispute #2
- Complaint: Suitability claims related to ETFs.
- Claimed Damages: $4,300,951.82.
- Settlement Amount: $850,000 (Mr. Graham contributed $50,000).
- Settled Dispute #3
- Complaint: Claims of forgery, unauthorized trading, and unsuitability concerning variable annuities.
- Claimed Damages: $257,238.
- Settlement Amount: $75,000 (Mr. Graham contributed $35,000).
- Dismissed Dispute
- Complaint: Concerns about suitability, management fees, and reporting issues involving variable annuities and ETFs.
- Claimed Damages: $473,911.
- Outcome: Denied, with Mr. Graham stating the clients were actively involved in their investment decisions.
- Pending Dispute
- Complaint: Suitability concerns related to exchange-traded funds.
- Claimed Damages: $2,580,000.
- Status: Currently pending in arbitration.
Allegations Against Aaron Graham
- Settled Cases:
- The three settled disputes involved claims of fraud, unsuitability, and unauthorized trading, with settlements totaling over $2.8 million. Mr. Graham personally contributed $135,000 across the settlements, maintaining that the claims were denied but settled for business purposes to avoid litigation costs.
- Dismissed Case:
- In one case involving alleged losses of nearly $474,000, Mr. Graham refuted claims of unsuitable recommendations and emphasized the clients’ active role in their investment decisions. The case was ultimately denied.
- Pending Case:
- The pending dispute involves claims of unsuitable recommendations tied to ETFs, with alleged damages exceeding $2.5 million. As arbitration is ongoing, no conclusions have been drawn.
Aaron Graham Red Flags & Your Rights As An Investor
Of course, Aaron 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 Aaron Graham at United Planners’ Financial Services of America, A Limited Partner on alert to review carefully the activity and performance of their accounts and question whether Aaron Graham has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints United Planners’ Financial Services of America, A Limited Partner 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 United Planners’ Financial Services of America, A Limited Partner Due To Aaron Graham
If you have questions about United Planners’ Financial Services of America, A Limited Partner and/or Aaron 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.
Rate this Post
Loading...