Last Updated: September 2023 (El Paso, Texas)
Michael Graham Investigation Summary
Here’s what you need to know about El Paso, TX, stockbroker Michael Graham:
- Name: Mr. Michael Graham
- Current Employer: LPL Financial LLC
- Previous Firms: Principal Securities Inc., Securian Financial Services, Inc.
- Aliases: Michael Clifford Graham
- Primary Location: El Paso, TX
- CRD 3263494
- Can Michael Graham be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement: $10,223
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Michael Graham As Your Stockbroker?
Michael Graham discloses a settled customer complaint for alleged broker misconduct. In addition Michael Graham discloses numerous currently outstanding tax liens.
In 2005 a customer of Securian Financial Services was paid $10,223 to resolve allegations that Michael Graham failed to liquidate variable annuity sub accounts as instructed.
In July 2023 Michael Graham disclosed the following currently outstanding tax liens:
- State of New Mexico: $26,944
- State of New Mexico: $24,202
- Internal Revenue Service: $563,677
- Internal Revenue Service: $35,047
Allegations of Broker Misconduct Against Michael Graham
Customers of Michael Graham have alleged the following wrongdoing in connection with the handling of customer accounts:
- Failure to liquidate sub account as instructed
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 Michael Graham, 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.
