The following information appeared on FINRA’s website under “Disciplinary and Other Actions, August, 2013.”
Robert Gist (CRD #716088, Registered Representative, Atlanta, Georgia)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Gist consented to the described sanction and to the entry of findings that he misappropriated several million dollars from his customers.
Allegedly, Gist misrepresented to customers that he would invest their money in securities positions. Instead, Gist invested the funds in a company he cofounded. Then Gist created and sent account statements with wholly fictitious securities positions to his customers every six months.
FINRA's findings also stated that Gist perpetuated the scheme by selling units of the company he owned, or used other investors’ funds, in order to make periodic payments to his customers.
(FINRA Case #2013036772901)
According to FINRA's BrokerCheck, Robert Gist was previously registered with FINRA at the following brokerage firms:
RESOURCE HORIZONS GROUP LLC
CRD# 104368
ATLANTA, GA
03/2001 - 12/2011
CENTENNIAL CAPITAL MANAGEMENT, INC.
CRD# 38988
ATLANTA, GA
11/1997 - 03/2001
CADARET, GRANT & CO., INC.
CRD# 10641
SYRAC-- USE, NY
07/1993 - 09/1997
This ends the information from FINRA's website.
If you feel you may have a claim against former broker Robert Gist, call 888-760-6552. Soreide Law Group, represents clients nationwide before FINRA.
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