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 potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]
Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]
Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]
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