Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions December, 2016.”
Gregory Russel Bauer (GREGORY BAUER) (CRD #2552478, Saxonburg, Pennsylvania)
was barred by FINRA for allegedly forging his member firm clients’ signatures, which caused the unauthorized sale of securities, intercepted checks in the mail, deposited the checks into his own bank account and used the funds for his personal expenses without permission.
FINRA’s findings stated that Bauer converted more than $400,000 from the clients, who were also his parents.
(FINRA Case #2016051501801)
GREGORY BAUER has been registered in the securities industry for 13 years. FINRA has permanently barred GREGORY BAUER from acting as a broker or otherwise associating with firms that sell securities to the public. He was registered with the following firms:
10/22/2013 - 09/29/2016 H. BECK, INC. MOON TOWNSHIP, PA
10/19/2004 - 10/23/2013 WADDELL & REED, INC. PITTSBURGH, PA
01/30/2003 - 10/11/2004 H. BECK, INC. BETHESDA, MD
It was stated in FINRA's BrokerCheck that Gregory R. Bauer was discharged from H. Beck on 9/28/2016 due to allegations of misappropriated funds of two client accounts at his prior broker/dealer, Waddell & Reed.
If you suffered losses due to former H. Beck, Inc. of Moon Township, PA, GREGORY BAUER’s recommendations or actions, call Soreide Law Group and speak to a lawyer regarding the possible recovery of your investment losses at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA. We operate on a contingency fee basis.
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