Robert Shaw Graham (Robert Graham) Financial Advisor/Broker Robert Graham Barred by State of Massachusetts | Goodman & Nekvasil, P.A. May Recover Investor Losses
Robert Graham is a formerly licensed financial advisor with First Allied Securities, Inc. According to Robert Graham’s BrokerCheck report, Robert Graham was fined $15,000 and barred by the Massachusetts Securities Division in August 2018.
According to the Massachusetts Securities Division:
Robert Graham engaged in unapproved outside business activities, including private securities transactions, which caused harm to 1 Massachusetts investors.
According to Robert Graham’s BrokerCheck Report, two customer disputes have been filed alleging sales practice violations against Robert Graham.
Customer Dispute 4/26/17: The customers claimed they purchased membership units in certain investments promoted by Robert Graham, based on misrepresentations Robert Graham made. Claim breach of unsuitability, fiduciary duty, fraud & misrepresentation and negligent supervision. This customer dispute was settled for $350,000.
Customer Dispute 6/27/16: Allegations include breach of fiduciary duty, fraud & misrepresentation and negligent supervision. This customer dispute was settled.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Robert Graham and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Robert Graham’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Robert Graham and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 2/5/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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