Written by The White Law Group• November 7, 2019• 6:29 pm• Blog, Current Investigations

Greg McKinney Broker Investigation

Financial Advisor Greg McKinney, Cetera Advisors in Tulsa, Oklahoma

-Updated- FINRA Reportedly Bars James “Greg” McKinney on February 27, 2020

Are you concerned about investments with James Gregory McKinney (Greg McKinney) in Tulsa, Oklahoma? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.

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According to public records, the Financial Industry Regulatory Authority has reportedly filed a complaint against financial advisor Greg McKinney alleging that he failed to comply with FINRA requests for information, documents and on-the-record testimony in connection with an investigation of him for possible alleged violations of FINRA rules.

Update on March 2, 2020

According to a default decision posted to FINRA’s website on Friday, McKinney has reportedly been barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents and failing to provide testimony during a FINRA investigation.

According to his FINRA BrokerCheck report, McKinney was reportedly affiliated with Cetera Advisors in Tulsa, Oklahoma from 2012 until 2019. He reportedly has 3 customer complaints filed against him, according to his broker report. Allegations include unsuitable recommendations and unauthorized transactions, among others. McKinney’s record also indicates that he allegedly has 3 judgment/liens reported since 2012.

The most recent complaint was purportedly filed in 2017.

Investigating Potential Lawsuits

The White Law Group is investigating potential lawsuits regarding the liability that McKinney’s employers may have for failure to properly supervise him.

When brokers violate securities laws, such as making unsuitable recommendations or unauthorized transactions, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration.

Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.

We represent investors in FINRA arbitration claims in all 50 states, including Oklahoma. Our attorneys have recovered millions of dollars from many brokerage firms in the past.