Gary Allen Graham, of Huntington Beach, California, a stockbroker currently registered with Calton & Associates, Inc., is the subject of a California Department of Insurance Order suspending Graham’s insurance licenses based upon findings that he failed to inform California about a fine and suspension imposed by Financial Industry Regulatory Authority (FINRA) for Graham’s improper conduct. Case No. OBS 2956-A (Sept. 7, 2017).
FINRA Public Disclosure reveals that Graham has been fined $5,000.00 and suspended from associating with any FINRA member in any capacity based upon consenting to findings that he entered into undisclosed loan arrangements with customers in violation of his employer’s policies, and concealed the customer loan when questioned within the employer’s compliance questionnaires. Letter of Acceptance, Waiver and Consent, No. 2015045527301 (Mar. 25, 2016). FINRA found Graham’s conduct violative of FINRA Rules 2010 and 3240.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
