March 2019-Scottsdale, AZ
The FINRA records of Robert S. Graham , a stockbroker who is currently unregistered and who last was employed by First Allied Securities, disclose a regulatory event and a currently pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 8/2018 Massachusetts Securities regulators permanently barred Graham from the securities industry to resolve allegations that he engaged in unapproved outside business activities which caused harm to a Massachusetts investor.
In FINRA case #16-01743 a customer of Capital Investment Group alleges damages of $650,000 for breach of fiduciary duty, fraud and misrepresentation in connection with membership units in certain investments promoted by Graham.
Graham was registered with First Allied Securities from 6/2014-1/2015. His prior employment includes Capital Investment Group and Sagepoint Financial. Graham discloses a business affiliation with RG Capital Investment Advisory Services.
If you have questions about an account handled by Robert S. Graham, call to learn about your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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