National investment loss lawyers KlaymanToskes is investigating broker Aaron Graham of United Planners’ Financial Services and AG Financial (CRD #3167246).
According to FINRA BrokerCheck, broker Aaron Graham with United Planners’ Financial Services was hit with a customer complaint that alleged Violations of the Utah Securities Act, fraud, breach of fiduciary duty, professional negligence, unsuitability, violation of FINRA Code of Conduct, and breach of advisory and brokerage agreements. The complaint was settled in favor of the investor for $1,950,000 in April 2024.
Investors that suffered losses with broker Aaron Graham are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Aaron Graham, a financial advisor from Salt Lake City, UT, has been involved in several investor complaints, according to records from the Financial Industry Regulatory Authority (FINRA). Graham currently works as a broker with United Planners’ Financial Services and as an investment advisor with AG Financial. The most recent complaint, filed in 2023, alleged that Graham did not act in his clients’ best interests, broke the Utah Securities Act, recommended an unsuitable exchange-traded fund, and acted negligent. This complaint was settled in favor of the investor for $1,950,000.
Another complaint from 2021 also alleged that Graham recommended an unsuitable exchange-traded fund, leading to a settlement of $850,000 in favor of the customer. A third complaint, from 2007, alleged that Graham, while working with UBS Financial Services, committed forgery, made unauthorized trades, and recommended unsuitable annuities. This complaint was settled for $75,000.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Aaron Graham. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encourage to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Aaron Graham, or have concerns regarding your investment portfolio at United Planners’ Financial Services and/or AG Financial, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.