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 Blue Owl Capital Corporation (NYSE: OBDC), including whether brokers and financial advisors properly explained the risks surrounding this publicly traded business development company and its related private credit platform. OBDC invests primarily in loans to middle-market companies and is often marketed as an income-generating investment. However, […]
Investors potentially experienced sales practice violations by securities broker Mark Perry Kissinger [CRD: 4546631, Frisco, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kissinger worked for NYLIFE Securities LLC since November 27, 2018, and Eagle Strategies LLC since March 15, 2023. Read on for a better understanding about the disclosures involving this […]
Investors have reportedly disputed the sales practices of securities broker Robert Steven Wilkinson [CRD: 1180321, Oakland, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wilkinson worked for Western International Securities Inc. from November 26, 2013, to June 5, 2025, and later registered with LPL Financial LLC beginning June 5, […]
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