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Andy Graham is the Subject of an Investor Dispute

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
October 21, 2025 at 6:16pm

Andy Graham (CRD #: 3002329), a broker registered with Robert W. Baird & Co., is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on October 21, 2025. Keep reading if you have questions regarding his alleged conduct.

Investor Allegations

On August 29, 2025, an investor alleged that she did not authorize Andy Graham to sell assets in her Advisory Choice Accounts.

Unauthorized Trading

Unauthorized trading violates FINRA Rule 3260, which limits brokers to exercising their trading discretion in pre-approved discretionary accounts.

Background Information

Andy Graham has passed the following exams:

  • Series 66 Uniform Combined State Law Examination
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 10 General Securities Sales Supervisor – General Module Examination 
  • Series 9 General Securities Sales Supervisor – Options Module Examination

He is a registered broker in 24 states and is a registered investment adviser in Tennessee and Texas.

Andy Graham has registered with the following firms:

  • Robert W. Baird & Co. (CRD #: 8158)
  • J.B. Hilliard, W.L. Lyons (CRD #: 453)
  • UBS Painewebber (CRD #: 8174)
  • C. Bradford & Co. (CRD #: 1287)

Kurta Law Can Help

If you worked with Andy Graham and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

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 that 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. 

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