Aaron Brian Graham Allegedly Engaged in Suitability, Questionable Management Fees & Clients Were Purportedly Concerned with His Reporting

Aaron Brian Graham allegedly recommended unsuitable investments, and fell under concerns of alleged questionable management fees and reporting methods, according to a Pending Customer Dispute under review by investor rights attorney Alan Rosca.

The aforementioned Dispute was filed on April 2, 2019, FINRA states, and damage amounts of $473,911.00 have been requested.

Graham denies that he recommended unsuitable investments, FINRA notes.

Investor rights attorney Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Aaron Brian Graham’s alleged unsuitable investments recommendations. Investors who believe they may have lost money in activity related to Aaron Brian Graham’s alleged unsuitable investments recommendations are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Aaron Brian Graham Settled another Customer Dispute Alleging Unauthorized Trading, Forgery, & Unsuitability for $75, 000; Graham Has been with UPFSA since 2005

Aaron Brian Graham also settles a Customer Dispute for $75,000 according to Graham’s FINRA BrokerCheck Report.

Said Dispute alleged unauthorized trading, forgery and unsuitability, and an original Damage Amount of $257,238.00 had been requested, FINRA states. The Dispute was settled back on August 13, 2007, FINRA notes.

Aaron Brian Graham has been registered with United Planners’ Financial Services of America in Scottsdale, Arizona since August 2, 2005, FINRA states.

In addition to Arizona, Aaron Brian Graham is registered in 11 other U.S. states, has spent 20 years in the securities industry, and has also been registered with the following firms:

  • Raymond James Financial Services, Inc., St. Petersburg, FL— January 9, 2014 to May 12, 2005
  • UBS Financial Services, Inc., Weehawken, NJ— August 31, 2001 to February 3, 2004
  • Prudential Securities Incorporated, New York, NY— February 24, 1999 to September 20, 2001

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Securities Lawyer Investigating

The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Aaron Brian Graham’s alleged unsuitable investments recommendations. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Aaron Brian Graham’s alleged unsuitable investments recommendations may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at rosca@lawgsp.com, or through the contact form on this webpage.

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In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent updates regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases. Also, the brokercheck report linked to some of our blogs is the up-to-date version as of the date of posting. Visitors may check the most recent version of each brokercheck report at www.finra.org.