10.0David P Neuman
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INVESTIGATION of Advisor JONATHAN GRAHAM – Los Angeles, CA

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09
Jul

INVESTIGATION of Advisor JONATHAN GRAHAM – Los Angeles, CA

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INVESTIGATION of Advisor JONATHAN GRAHAM – Los Angeles, CA

Israels & Neuman, PLC Investigates Jonathan Graham, Formerly of J.P. Morgan Securities and Leumi Investment Services

Have you lost money with financial advisor Jonathan Edward Graham (CRD# 2766840), formerly of J.P. Morgan Securities and Leumi Investment Services, in Los Angeles, California?  We are investigating allegations of a former customer related to Jonathan Graham. Jonathan Graham’s BrokerCheck report, a public record maintained by FINRA, states that Graham has been the subject of one customer complaint, complaining of conduct from 2015.  The customer alleges that J.P. Morgan Securities failed to supervise transactions involving over-the-counter (OTC) stocks and alleges $2 million in damages. 

Graham also tried to remove two civil judgments (totaling over $450,000, which were satisfied in 2011 and 2012 respectively), a tax lien, and a 2003 bankruptcy from the CRD system.  He appealed his decision to the Securities and Exchange Commission (SEC), which dismissed his application for review.

Jonathan Graham was a registered representative of J.P. Morgan Securities from October 2012 to April 2016.  He was also with Leumi Investment Services from April 2016 to December 2018.  Graham currently works for Waddell & Reed, from November 2019 to the present.  Graham has worked in offices in Los Angeles and Sherman Oaks, California.

Brokerage firms like J.P. Morgan Securities have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers. 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California and throughout the Los Angeles area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including, J.P. Morgan Securities.

IF YOU LOST MONEY WITH JONATHAN GRAHAM, J.P. MORGAN SECURITIES, OR LEUMI INVESTMENT SERVICES, PLEASE CONTACT US AT 720-599-3505 OR 206-795-5798 FOR A FREE EVALUATION OF YOUR CASE.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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