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Richard Graham Issued a Two Month Suspension

Richard GrahamPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 7, 2016 indicate that Indiana-based JP Morgan Securities broker/adviser Richard Graham has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Graham (CRD# 2955860).

Richard Graham has spent fifteen years in the securities industry and has been registered with JP Morgan Securities in Indianapolis, Indiana since 2013. Previous registrations include the Huntington Investment Company in Lafayette, Indiana; Natcity Investments in Cleveland, Ohio; and Woodbury Financial Services in Oakdale, Minnesota. He is currently not registered with any state or firm.

According to his BrokerCheck report, Richard Graham has received seven customer complaints and one FINRA sanction.

In September 2016 FINRA sanctioned Richard Graham following allegations he made unsuitable recommendations involving unit investment trusts. He was issued a two-month suspension as well as fines and disgorgement exceeding $13,000.

In 2013 a customer alleged Richard Graham, while employed at the Huntington Investment Company, did not advise him that closed end bond fund investment could lose money. The complaint settled in 2013 for more than $13,200.

In 2013 a customer alleged he, while employed at the Huntington Investment Company, participated in unspecified misconduct connected to unit investment trust products that lost money. The complaint settled in 2014 for more than $34,400.

In 2013 a customer alleged he, while employed at the Huntington Investment Company, told her the principal of a unit investment trust investment was safe. The complaint settled in 2014 for more than $79,200.

In 2013 a customer alleged he, while employed at the Huntington Investment Company, made a poor investment recommendation that resulted in a loss. The complaint settled in 2014 for more than $29,400.

If you have complaints regarding Richard Graham, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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