DID HOWARD OKEEFE GRAHAM CAUSE YOU INVESTMENT LOSSES?
Howard Graham Formerly With Stonex Securities Inc was terminated on June 27, 2024, following the FINRA suspension related to non-compliance with arbitration awards
Who is Howard Graham formerly with Stonex Securities Inc?
Howard Graham (CRD #717332) who was formerly registered as a broker with Stonex Securities Inc and located in Ridgeland, Mississippi, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Howard Graham Employment History
Howard O’Keefe Graham has extensive experience in the securities industry, with a career spanning several decades. Mr. Graham has worked with 11 firms throughout his career, with his most recent registration being with Stonex Securities Inc., from September 2023 to July 2024. He has passed 4 general industry/product exams, including the General Securities Representative Examination (Series 7) and the Securities Industry Essentials Examination (SIE). Additionally, he has passed 2 multi-state securities law exams. Despite his long tenure in the industry, Mr. Graham is not currently registered with any firm.
Allegations Against Howard Graham
Howard O’Keefe Graham has multiple negative disclosures in his FINRA report, including regulatory, customer disputes, and terminations:
- Regulatory Event:
- FINRA Suspension (2024): Mr. Graham was suspended on June 25, 2024, by FINRA for failing to comply with an arbitration award or settlement agreement and failing to respond to FINRA’s requests regarding compliance. The suspension is indefinite.
- Customer Disputes:
- Settlement (1982): A customer dispute related to unauthorized transactions and deposits in accounts was settled on September 1, 1982. Mr. Graham contributed $7,000 to an $11,000 settlement.
- Complaint Denied (1999): A customer complaint alleging inadequate communication regarding a company’s bankruptcy was denied, and no further action was taken.
- Terminations:
- Discharge from Stonex Securities Inc. (2024): Mr. Graham was discharged on June 27, 2024, following the FINRA suspension related to non-compliance with arbitration awards.
- Discharge from Wells Fargo Clearing Services, LLC (2023): He was discharged on July 19, 2023, after admitting to executing trades without client authorization. No customer harm was identified.
Howard Graham Red Flags & Your Rights As An Investor
Of course, Howard 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 coupled with the recent termination are red flags which should put all current and former customers of Howard Graham at Stonex Securities Inc on alert to review carefully the activity and performance of their accounts and question whether Howard Graham has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stonex Securities Inc 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 Stonex Securities Inc Due To Howard Graham
If you have questions about Stonex Securities Inc and/or Howard 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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