California-based Calton & Associates broker/adviser Gary Graham was recently suspended by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Graham (CRD# 2111230).
Gary Graham has spent 24 years in the securities industry and has been registered with Calton & Associates in Huntington Beach, California since July 2015. Previous registrations include Wedbush Securities in Ontario, California; Crowell Weedon & Company in West Covina, California; Wachovia Securities in St. Louis, Missouri; Prudential Securities in New York, New York; AG Edwards & Sons in St. Louis, Missouri; Dean Witter Reynolds in Purchase, New York; Merrill Lynch in New York, New York; Waddell & Reed in Overland Park, Kansas; and First Investors Corporation in New York, New York. He is a registered broker and investment adviser in California.
According to his BrokerCheck report, Gary Graham is the subject of one regulatory sanction and one customer complaint.
In March 2016 FINRA sanctioned Gary Graham following allegations he borrowed $15,000 from an elderly customer of his member firm, Wedbush Securities, but did not disclose the loan, in contravention of firm policy, though the loan was repaid in full. He was issued a 45-day suspension from the securities industry and a fine of $5,000.
In 2002 a customer alleged Gary Graham, while employed at AG Edwards & Sons, executed unauthorized trades. The complaint settled for $10,000.
If you or someone you know has lost money investing with Gary Graham, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.
This article is based on publicly available information provided by FINRA on April 8, 2016.