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.
Soreide Law Group is investigating potential investor claims involving Cambridge Investment Research following a FINRA disciplinary action concerning Unit Investment Trust (UIT) recommendations. In April 2026, FINRA censured Cambridge Investment Research after finding supervisory deficiencies involving certain UIT recommendations made to retail clients. Investors who incurred excessive fees, unnecessary costs, or other damages associated with […]
Soreide Law Group is investigating potential investor claims involving Infinity Financial Services after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and recommendations. Investors who incurred surrender charges or other losses in connection with variable annuity transactions recommended through Infinity should review the allegations that led to FINRA's disciplinary action against […]
Soreide Law Group is investigating potential investor claims involving losses in NextGenTech Investments LLC, a private fund managed by Sestante Capital LLC that purported to provide investors with economic exposure to shares of private companies, including Anduril Industries. Recent criminal proceedings involving Sestante Capital's manager have raised significant concerns regarding the offering, the representations made […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com