Aaron Brian Graham of Salt Lake City, Utah, a stockbroker registered with United Planners Financial Services of America, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested damages based upon allegations that Graham breached a contract, violated FINRA rules, made unsuitable investment recommendations, was negligent, breached his fiduciary duties, committed fraud, and violated state securities laws in connection with the sale of non traditional Exchange Traded Funds or ETFs during the period that Graham was associated with United Planners Financial Services Of America. FINRA Arbitration No. 23-00724 (March 27, 2023).
FINRA Public Disclosure shows that Graham is referenced in three other customer initiated investment related disputes concerning Graham’s conduct while associated with securities broker dealers. On August 1, 2008, a customer initiated investment related NASD securities arbitration claim involving Graham’s conduct was settled for $75,000.00 in damages based upon allegations that Graham engaged in unauthorized trading, made unsuitable recommendations, and committed forgery in connection with the sale of variable annuities during the time that Graham was associated with UBS Financial Services Inc. NASD Arbitration No. 07-02026.
Another customer filed an investment related complaint involving Graham’s conduct in which the customer requested $473,911.00 in damages based upon allegations that Graham made unsuitable recommendations of ETFs and variable annuities when Graham was associated with United Planners Financial Services of America. The securities broker dealer denied this complaint.
Graham was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $850,000.00 in damages based upon allegations that Graham made unsuitable recommendations of ETFs. FINRA Arbitration No. 21-02990 (December 21, 2022).
Graham has been associated with United Planners Financial Services of America as a stockbroker since August 2, 2005, and as an investment advisor representative since April 19, 2006.
