Brian Scott Graham, of Plainfield, Illinois, a stockbroker registered with Cetera Advisor Networks LLC, has been permitted to resign on April 11, 2024, based upon allegations that Graham made “unauthorized withdrawals” from a customer’s bank account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Graham is also referenced in a customer initiated investment related complaint filed on March 2, 2024, in which the customer requested $50,000.00 in damages based upon allegations that Graham made unauthorized ATM withdrawals when Graham was associated with Cetera Advisor Networks LLC. There does not appear any allegations that Graham misappropriated or converted these funds for his own use.
Graham is referenced in two customer initiated investment related disputes concerning Graham’s conduct while associated with securities broker dealers. On February 16, 2007, a customer initiated investment related FINRA securities arbitration claim involving Graham’s conduct resulted in the customer being awarded $72,500.00 in compensatory damages because Mesirow Financial Inc. was held liable on the customer’s claims which included unsuitable investment recommendations. FINRA Arbitration No. 06-00082.
Graham was associated with Cetera Advisor Networks LLC in Plainfield, Illinois from September 3, 2013, to April 12, 2024.
