Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darren Graff (Graff), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 24, 2022.
Claimant, a former client and former advisor, alleges unauthorized transactions in one security and commissions owed per agreement. Activity dates 2/16 – 3-21.