Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gregory Alan Corrie [CRD: 1982814, Boise, Idaho]. Corrie, who worked for firms including Cambridge Investment Research, Inc. from January 2020 to March 2023 and Cetera Advisors LLC from November 2017 to November 2019, is the subject of multiple adverse disclosures. Recent regulatory actions and allegations include excessive use of Unit Investment Trust (UIT) products and failure to comply with FINRA’s investigation requests.
On August 20, 2024, FINRA issued a permanent bar against Gregory Corrie, citing his failure to produce requested documents and information during a regulatory investigation. The investigation arose from a Form U5 submitted by Cambridge Investment Research, Inc., which terminated Corrie’s employment on February 16, 2023, for allegations of excessive UIT product usage. Cambridge Investment Research subsequently conducted an internal review and issued remediation payments related to Corrie’s trading activities. Without admitting or denying the allegations, Corrie consented to FINRA’s sanctions.
On February 16, 2023, Cambridge Investment Research, Inc. discharged Gregory Corrie. The firm alleged that Corrie engaged in excessive use of UIT products. This termination followed Cambridge’s internal investigation and resolution of related client issues.
Looking for more information about Gregory Corrie? If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. Soreide Law Group represents investors nationwide, handles cases on contingency, advances necessary costs, and works to recover losses caused by sales practice violations, though recovery is not guaranteed. Corrie and the firms he worked for deny accusations of sales practice violations.
Zachary Cuyler Green, also known as Zach Green (CRD: 5714566), is a securities broker based in Raleigh, North Carolina. A client has claimed investment losses in a complaint involving Green, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Green worked with Merit Financial Advisors since May 8, 2025, and Purshe Kaplan Sterling Investments since May […]
Adam T. Taff, also known as Adam Taff (CRD: 5933315), is a securities broker and financial advisor in Charlotte, North Carolina. He has been registered with MML Investors Services LLC as a broker since July 26, 2011, and as a financial advisor since November 30, 2012. Taff disclosed a client complaint involving alleged investment losses, […]
Investors might have sustained losses due to securities broker Donald Paul Robbins [CRD: 4364668, Waxhaw, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robbins has been registered with MML Investors Services LLC as a broker since April 8, 2016, and as a financial advisor since April 12, 2016. Keep reading […]
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