Last Updated: September 2023 (Dallas, Texas)
Angela M. Graham-West Investigation Summary
Here’s what you need to know about Dallas, Texas / Ft. Lauderdale, FL, stockbroker Angela M. Graham-West:
- Name: Ms. Angela M. Graham-West
- Current Employers: LPL Financial LLC, Orion Wealth Management LLC
- Previous Firms: Oppenheimer & Co., Raymond James & Associates, First Command Financial Planning, First Command Bank
- Aliases: Angela Michelle Graham, Angela Michelle Graham-West, Angela Michelle Graham-Forbes
- Primary Locations: Dallas, Texas; Ft Lauderdale, FL
- CRD 3004083
- Can Angela M. Graham-West be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement: $185,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Angela M. Graham-West As Your Stockbroker?
Angela M. Graham-West discloses a settled customer complaint for alleged broker misconduct and two other customer complaints that were not pursued:
In June 2018, a customer of Raymond James & Associates was paid $185,000 to settle a FINRA arbitration alleging that Angela M. Graham-West made unsuitable recommendations, excessively traded the account, was negligent and made misrepresentations.
Two other customers, while Angela M. Graham-West was employed by Oppenheimer & Co. , made complaints that Ms. Graham-West had mishandled their accounts. The firm reviewed the complaints, and as is generally the case, denied the claims. Those customers apparently did not hire counsel or otherwise pursue their claims. Both complaints alleged unauthorized trading.
Allegations of Broker Misconduct Against Angela M. Graham-West
Customers of Angela West have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
- Unauthorized trading
- Common law fraud
- Negligent misrepresentation
- Excessive trading
- Breach of fiduciary duty
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Angela M. Graham-West, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
