Investor Alert > Broker Aaron Graham Allegedly Engaged in Suitability and Questionable Management Fees
Posted Jun 16, 2019
by Alan Rosca

Broker Aaron Graham Allegedly Engaged in Suitability and Questionable Management Fees

broker aaron graham

Aaron Graham Clients Were Allegedly Concerned with His Reporting  

Broker 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. He denies that he recommended unsuitable investments, FINRA notes.

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

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Aaron Graham Settled Another Customer Dispute 

Graham also settled 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.

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

In addition to Arizona, he 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 or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.

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Securities Lawyer Investigating Aaron Graham

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating broker Aaron Graham’s alleged unsuitable investment 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 broker Aaron Brian Graham’s alleged unsuitable investment recommendations may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

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DISCLAIMER

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 matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

Contact us at 888‑998‑0530 or through the contact form on this page.
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