B.B. Graham & Company Inc
The law offices of Gana LLP represents investors that have disputes with their financial advisors or brokerage firms, such as B.B. Graham & Company Inc (B.B Graham). There are many different types of securities related misconduct including breach of fiduciary duty, failure to supervise, false representations, and churning. Many investors do not realize when their financial advisor engages in securities misconduct, but there are steps that can be taken to recover losses. The attorneys at Gana LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.
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: 82
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.