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.
Investors apparently complained about securities broker Devlin H. Dwyer. [CRD: 6634140, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dwyer worked for Patrick Capital Markets LLC from November 22, 2016, to March 9, 2026. See below to find out more about the disclosures involving this securities broker. Patrick Capital Investor […]
Investors have reportedly disputed the sales practices of securities broker Jennifer Lasser Eilers (also known as Jennifer Ann Costello and Jennifer Ann Lasser) [CRD: 2410129, Niles, Illinois], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jennifer Eilers worked for BMO Harris Financial Advisors Inc. from February 19, 2021, to March 24, 2021, […]
Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]
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