JOHN LANE GRAVES

JOHN LANE GRAVES is currently employed as a Broker and/or Investment Adviser at SYNDICATED CAPITAL, INC. located at 1299 OCEAN AVENUE 2ND FLOOR, SANTA MONICA, CA, 90401.

JOHN LANE GRAVES has worked at SYNDICATED CAPITAL, INC. since August 30, 1993

Disclosure History

JOHN LANE GRAVES has 1 Disclosure Event(s).

Date: March 01, 2017
Category: Customer Dispute
Allegations: Customer complained about having to pay for commissions on selling out his positions to close accounts.
Damage Amount Requested: $13,310.50
Settlement Amount: $4,712.40
Broker Comment: Syndicated Capital disclosed all fees when opening new accounts. Customer thought we provided services free of charge.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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