BRIAN SCOTT GRAHAM
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/27/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081749201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian S. Graham (Respondent) Former General Securities Representative CRD No. 2581633 Pursuant to FINRA Rule 9216, Respondent Brian S. Graham submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2024081749201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2581633 |
Other names1
Also known as1
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