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FINRA Bars Gregg Templeton from the Securities Industry


FINRA June 2017 Disciplinary Report

According to FINRA, Gregg Templeton (CRD #2412775, New York, New York) submitted an AWC in which he was barred from association with any FINRA member in all capacities.

Without admitting or denying the findings, Gregg Templeton consented to the sanction and to the entry of findings that he failed to provide FINRA with documents and information during the course of its investigation into allegations that he, among other things, misused customer funds and committed other sales practice violations.

For the Financial Industry Regulatory Authority’s full findings see FINRA Case #2015046811401.

According to his FINRA BrokerCheck Report, Gregg Templeton was registered with Aegis Capital Corporation in New York from 01/28/2016 – 03/04/2016. Prior to that, he worked for Oppenheimer & Company in New York, New York from January 2007 until August 2015. He has eight customer disputes listed on his Broker Report. Allegations include unauthorized trading and misrepresentation.

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The foregoing information, which is all publicly available, is being provided by The White Law Group. If you have concerns about an investment you have made with your financial advisor, please call for a free consultation, at (888) 637-5510.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. The firm represents investors throughout the country in claims against their brokerage firm.

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Tags: , , , , , , Last modified: March 25, 2019