Brian Scott Graham, a former stockbroker with Cetera Advisor Networks LLC in Plainfield, Illinois, has been permanently barred by Financial Industry Regulatory Authority (FINRA). The decision, issued on September 27, 2024, followed Graham’s refusal to provide testimony during an investigation into allegations of “unauthorized withdrawals.” These allegations were disclosed on an amended Form U4. Without…
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…