Stoltmann Law Offices is investigating Gary Allen Graham, who recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Mr. Graham was accused of borrowing $15,00 from a firm customer when he was registered with Wedbush Securities, and this is against securities rules and regulations. For this he was suspended from the industry for 45 calendar days and fined $5,000. According to his FINRA online BrokerCheck report, Graham was registered with First Investors Corp, Waddell & Reed, Dean Witter Reynolds, Merrill Lynch, A.G. Edwards & Sons, Prudential Securities Inc., Wachovia Securities, Crowell, Weedon & Co. and Wedbush Securities in Ontario, California from August 2011 until May 2015. He is currently registered with Calton & Associates in Huntington Beach, California and has been since July 2015. He has one customer dispute against him. You may be able to sue his former firm, Wedbush Securities, in the FINRA arbitration claims process on a contingency fee basis if you call our Chicago-based securities law firm today to speak to an attorney for free.
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