Florida-based Soreide Law Group, has obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, December 2014."
Anthony Arthur Grey (CRD #709788, Winter Park, Florida)
was fined $30,000, suspended by FINRA for 18 months and is required to disgorge $15,750, plus pre-judgment interest, to FINRA. The National Adjudicatory Council (NAC) affirmed the findings of the Office of Hearing Officers (OHO) and modified the sanctions OHO had imposed.
FINRA's findings stated that Grey willfully engaged in undisclosed interpositioning, charged unfair prices and excessive mark-ups, and engaged in fraud. The findings stated that Grey violated MSRB Rules G-17 and G-30, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. Because his violations were willful, he is statutorily disqualified.
This matter has been appealed to the SEC. The sanctions are not in effect pending the review.
(FINRA Case #2009016034101)
Anthony Grey was previously registered with the following securities firm(s):
09/1995 - 11/2012 GARDNYR MICHAEL CAPITAL, INC. (CRD# 30520) - WINTER PARK, FL
FINRA expelled the firm in 07/2014
08/1994 - 04/1995 GARDNYR MICHAEL CAPITAL, INC. (CRD# 30520) - MOBILE, AL
FINRA expelled the firm in 07/2014
06/1986 - 05/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD# 7471) - NEW YORK, NY
05/1980 - 07/1986 PAINEWEBBER INCORPORATED (CRD# 8174)
FINRA's info from December Disciplinary Actions ends here.
Soreide Law Group, (888) 760-6552, located in Florida represents clients nationwide before FINRA. Call for a free consultation with an attorney on how to potentially recover your losses.
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