Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Graham (Graham), previously associated with Brokers International Financial Services, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Graham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on February 03, 2025.
Customer of indirect affiliated insurance company (not customer of broker-dealer) claims that in the 2nd half of 2018 and into 2019, RR recommended and sold her an unsuitable fixed annuity to invest proceeds received after her mother passed away.