Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Corrie (Corrie), previously associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one regulatory event, alleging that Corrie recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on August 20, 2024.
Without admitting or denying the findings, Corrie consented to the sanction and to the entry of findings that he declined to produce information and documents requested by FINRA in connection with its investigation into the circumstances giving rise to the Form U5 filed by his member firm. The findings stated that Corrie’s firm had terminated Corrie for excessive use of UIT products. After an internal review by the firm was concluded, the firm made remediation payments related to the trading activity.