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Darren Graff Allegedly Conducted Unauthorized Transactions

May 31, 2022 Unauthorized Trading

Darren Graff (CRD #: 2671425), a broker registered with J.P. Morgan Securities, allegedly exercised his discretion without client approval, according to his BrokerCheck record, accessed on May 23, 2022. Keep reading if you have questions about Darren Graff’s conduct as a broker.

Investor Dispute

In a dispute filed on February 24, 2022, a former client alleges Darren Graff conducted unauthorized transactions in one security and commissions owed per an agreement between February 2016 and March 2021. This dispute is pending.

FINRA Rule 3260

FINRA Rule 3260 limits brokers to exercising their discretion only in pre-authorized discretionary accounts. Accounts must first be approved for discretionary trading by both the client and the firm.

Background Information

Darren Graff 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 3 – National Commodity Futures Examination
  • Series 7 – General Securities Representative Examination
  • Series 9 – General Securities Sales Supervisor – Options Module Examination
  • Series 10 – General Securities Sales Supervisor – General Module Examination

Darren Graff is a registered broker in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. He is also a registered investment adviser in Connecticut, Florida, New York, North Carolina, and Texas.

In the past, he has also worked for the following firms:

  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • Citigroup Global Markets (CRD#:7059)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • GKN Securities (CRD#:19415)

Kurta Law Can Help

If you worked with Darren Graff and you have concerns about your investments, please contact us today at 877-600-0098 or 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 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.