April 11, 2016-Plano, Texas
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.
FINRA records are public and can be accessed on the BrokerCheck website.
The FINRA records of Jamey C. Graham, a stock broker who formerly worked for Southwest Securities, report that he is currently named in a customer dispute in which the customer claims there were misrepresentations made in connection with the sale of a fixed annuity. Damages are alleged to be $1 million.
Graham is currently employed by Hilltop Securities which recently merged with Southwest Securities. He was previously registered with Merrill Lynch from 8/2008-10/2012.
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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