Aaron Graham Named in Dispute Alleging Fraud

Aaron Graham (CRD #: 3167246), a broker registered with United Planners’ Financial Services of America, is involved in a pending dispute, according to his BrokerCheck record, accessed on May 25, 2023. Investors may have also worked with him through AG Financial. Keep reading to learn more about his alleged conduct as a broker.

Investor Disputes

On March 27, 2023, Aaron Graham was named in a dispute alleging fraud, violations of the Utah Securities Act and FINRA Code of Conduct, negligence, misconduct relating to suitability, and breach of advisory and brokerage agreements. This dispute is currently pending.

A dispute filed against Aaron Graham on September 7, 2021, also made allegations concerning suitability. The client sought $4,300,951.82 and received a settlement of $850,000.

On April 2, 2019, an investor named Aaron Graham in allegations involving suitability and management fees. The investor sought $473,911 in damages but the firm denied the dispute.

However, investors should be aware that firms can deny disputes without an outside review. Investors may be able to recover their funds by seeking out FINRA arbitration after a denial.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 2111

FINRA Rule 2111 requires that brokers tailor their investment recommendations to an investor’s profile, which describes their risk tolerance, age, and financial goals. 

Investors who rely on brokers for investment recommendations can pursue FINRA arbitration and potentially recover their losses.

What are Blue Sky Laws?

Blue sky laws like the Utah Securities Act are regulations that offer investors an extra layer of protection against securities fraud at the state level. They may also describe which types of investments must register with the state securities board.

What is broker negligence?

Brokers may act in many negligent ways, ranging from recommending unsuitable investments to executing unauthorized trades.

Investors who have lost money through broker negligence may be able to recover their funds through FINRA arbitration.

Background Information

Aaron Graham has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 24 – General Securities Principal Examination
• Series 9 – General Securities Sales Supervisor – Options Module Examination

Aaron Graham is a registered broker in 14 states and a registered investment adviser in Arizona, Texas, and Utah.

He has also worked for the following firms:

• G2 Financial Group (CRD#:135407)
• Raymond James Financial Services (CRD#:6694)
• UBS Financial Services (CRD#:8174)
• Prudential Securities (CRD#:7471)

Kurta Law Can Help

If you worked with Aaron Graham and you have concerns about your investments, contact a New York investment fraud lawyer today for a free case evaluation. Call (877) 600-0098 or email info@kurtalawfirm.com.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.