The securities attorneys and investment attorneys at Weltz Law represent customers in their disputes with brokerage firms, such as B.B. Graham & Company Inc (B.B. Graham). Many investors do not realize when their financial advisor engages in securities or investment broker misconduct, but there are steps that can be taken to recover losses. Our securities attorneys and investment attorneys can analyze your accounts and investments in order to determine if there was any wrongdoing in the handling of your accounts, which resulted in stock market losses. There are many different types of securities related misconduct including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. Our analysis can reveal whether an investor has been a victim of misconduct including unsuitable investments, unauthorized trading, excessive trading, financial elder abuse or fraud.
B.B. Graham & Company Inc is a broker-dealer that offers a variety of financial services to its clients. The firm is affiliated with, or under common control with Graham & Co. Advisory, Inc, which are both directly owned by Bruce Graham.
B.B. Graham – By the Numbers
- CRD #: 41533
- SEC #: 49477
- Regulatory Events: 3
- Customer Complaints: 4
- Employees: 80+
B.B. Graham – In the News
FINRA v. B.B. Graham & Company (Case #: 2011027646701) – B.B. Graham was fined $190,000 by FINRA due to the findings that showed that the firm allegedly sold corporate bonds to its customers for a price that was unfair. The firm’s written supervisory procedural system lacked the necessary supervision necessary to properly supervise in order to ensure fair pricing, in regards to selling corporate bonds to customers. The supervisory system in place lacked the minimum requirements mandatory for adequate written supervisory procedures.
NASD v. B.B. Graham & Company (Case #: 03-08724) – B.B. Graham was fined $10,000 for its alleged breach of their fiduciary duty, misrepresentation of an account, and account related margin calls.
NASD v. B.B. Graham & Company (Case #: 06-03917) – B.B. Graham was fined for a total of $243, 377.44 for allegedly engaging in churning, misrepresentation, suitability, and breach of contract, regarding an account.
Retain an Experienced Securities Lawyer and Investment Lawyer
If you sustained losses because of Accelerated Capital and by your broker, it is crucial to engage an experienced securities attorneys and investment attorneys to represent you in your pursuit of the damages cause by Accelerated Capital. Weltz Law is a New York based law firm that regularly represents individuals and businesses in FINRA and AAA arbitration proceedings and litigation in state and federal courts in New York and throughout the country. You can contact us through the online form or at 877-558-1576 to set up a consultation regarding your case and to find out how the FINRA process works.