HOWARD OKEEFE GRAHAM is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1020 HIGHLAND COLONY PARKWAY, RIDGELAND, MS, 39157.
HOWARD OKEEFE GRAHAM has worked at WELLS FARGO CLEARING SERVICES, LLC since April 30, 2015
Disclosure History
HOWARD OKEEFE GRAHAM has 4 Disclosure Event(s).
Date: June 07, 1999 Category: Customer Dispute Allegations: CUSTOMER CLAIMS THAT WAS NOT KEPT INFORMEDABOUT THE STATUS OF UCPRI. FEELS THAT SHOULD HAVE BEEN NOTIFIED OF COMPANY FILING FOR BANKRUPTCY. LOSS CLAIMED TO BE $8,266.08. Damage Amount Requested: $8,266.08 Broker Comment: RESPONSE LETTER SENT TO CUSTOMER 06/22/1999, DENYING ALLEGATIONS. CASE CLOSED, NO FURTHER COMMUNICATION FROM CUSTOMER.
Date: May 13, 1985 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Broker Comment: Not Provided
Date: January 30, 1984 Category: Regulatory
Date: September 01, 1982 Category: Customer Dispute Allegations: DEPOSITED $2,500 INTO CLIENTS ACCOUNT TOCOVER LOSSES -EXERCISED DISCRETION WITHOUT WRITTEN AUTHORITY Settlement Amount: $11,000.00
More Information
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