Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other Actions January 2016.”
Anthony Arthur Grey (CRD #709788, Winter Park, Florida)
was fined $30,000, suspended by FINRA for 18 months and required to disgorge $15,750, plus pre-judgment interest, to FINRA. The sanctions were sustained by the Securities and Exchange Commission (SEC) following appeal of a National Adjudicatory Council (NAC) decision.
These sanctions were based on findings that Grey allegedly, willfully engaged in undisclosed interpositioning, charged unfair prices and excessive mark-ups, and engaged in fraud.
FINRA’s findings stated that because Grey’s violations were allegedly willful, he is statutorily disqualified.
This suspension is in effect from November 2, 2015, through May 1, 2017.
(FINRA Case #2009016034101)
Anthony Arthur Grey was employed in the securities industry for 31 years and was last registered with:
09/1995 - 11/2012 GARDNYR MICHAEL CAPITAL, INC. - WINTER PARK, FL
FINRA expelled the firm in 07/2014.
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