DID STEVEN R GRAHAM CAUSE YOU INVESTMENT LOSSES?
Steven Graham Of Western International Securities, Inc. And Formerly With J.P. Morgan Securities LLC Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Steven Graham of Western International Securities, Inc.?
Steven Graham (CRD #1977736) who is currently registered as a broker and investment adviser with Western International Securities, Inc. and located in Valencia, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Inc., Steven Graham was associated with J.P. Morgan Securities LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Graham has his own regulatory problems. He has been named as a defendant in a lawsuit filed by the SEC along with Western International Securities and four other brokers. The allegations in that complaint for violation of the Federal securities laws particularly, Regulation Best Interest in connection with their recommendations to retail customers to purchase unrated debt security known as a GWG L bond offered by GWG Holdings. The lawsuit is still pending.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Steven Graham Customer Complaints
Steven Graham has been the subject of 2 customer complaints that we know about seeking to recover investment losses. J.P. Morgan Securities did not one customer complaint in the investor took no further action. The other customer complaint is still pending in a FINRA arbitration proceeding against Western International Securities for Steven Graham’s alleged misconduct.
Allegations Against Steven Graham
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Misrepresentation and negligence related to corporate debt transactions.
- Unsuitable recommendation related to mutual funds.
- Violation of Regulation best interest.
Steven Graham Red Flags & Your Rights As An Investor
Of course, Steven 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 Steven Graham at Western International Securities, Inc. and J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Steven Graham has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. and J.P. Morgan Securities LLC also raises questions about the brokerage firms’ 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 Western International Securities, Inc. Due To Steven Graham
If you have questions about Western International Securities, Inc., J.P. Morgan Securities LLC and/or Steven 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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