Graham Charles Green of San Francisco California a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related written complaint on January 18, 2018 where the customer sought damages estimated to exceed $5,000.00 founded on accusations that investment recommendations failed to be suitable and the customer sustained losses on inappropriate private securities and real estate security purchases made during the time that Green was associated with LPL Financial LLC.
FINRA Public Disclosure additionally confirms that a customer filed an investment related complaint involving Green’s activities in which the customer requested more than $5,000.00 in damages based upon allegations that during the period in which Green was employed by Northwestern Mutual Investment Services Inc., omissions had been made by the stockbroker in regards to the penalties of exchanging an annuity.
Green’s employment with Northwestern Mutual Investment Services was terminated when he was under investigation by the securities broker dealer for allegedly partaking in outside business activities that he failed to disclose.
