United Planners’ Financial Services Of America A Limited Partner broker Aaron Graham (CRD# 3167246) is accused of exchange traded fund (ETF) investment losses. He has been registered with United Planners’ Financial Services Of America A Limited Partner in Salt Lake City, Utah, since 2005, and with AG Financial, LLC in Salt Lake City, Utah, since 2006.
Aaron Graham Customer Complaints
He has been the subject of four customer complaints between 2007 and 2023, one of which was denied, according to his CRD report. The most recent complaints are regarding:
March 2023. “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 case is currently pending. The complaint took place while he was registered with United Planners’ Financial Services Of America A Limited Partner, and it was regarding ETFs.
September 2021. “Suitability claims.” The customer sought $4,300,951.82 in damages, and the case was settled for $850,000. The complaint took place while he was registered with United Planners’ Financial Services Of America A Limited Partner, and it was regarding ETFs.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, United Planners’ Financial Services Of America A Limited Partner may be liable for investment or other losses suffered by Aaron Graham’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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