Robert Michael Graves, Jr. (CRD #2093814, Registered Representative, Heath, Texas) was named as a respondent in an NASD complaint alleging that he participated in a private securities transaction and failed to provide written notice to his member firm describing the transaction, his role therein, and whether he might receive selling compensation. The complaint also alleges that Graves recommended and effected a transaction in the account of a public customer without having reasonable grounds for believing that his recommendation, and the resulting purchase by the customer, was suitable based upon the customer's financial situation and needs. The complaint further alleges that Graves engaged in an outside business activity and failed to provide his member firm with written notice of his activity. In addition, the complaint alleges that Graves obtained a $52,000 loan from a public customer in violation of firm policy prohibiting the receipt or solicitation of loans from public customers. (NASD Case #C06050002)

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