Soreide Law Group is investigating possible investor claims against securities broker Gregory Foster (CRD: 1532735, Wayzata, Minnesota). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Evidently, investors allege sales practice violations in these disputes, including that Foster caused losses. Here is a brief summary of the disclosures about Foster.
Supposedly, on March 27, 2023, a UBS Financial Services Inc. client filed a complaint about Gregory Foster. Namely, the client alleged that Foster caused losses relating to a canceled trade. Because of this, the client allegedly sustained damages on equities. Therefore, the client requested $300,000 in compensation from UBS Financial Services Inc. or Foster. However, this complaint is ongoing.
Also, a client of UBS Financial Services Inc. contested Gregory Foster’s sales practices, according to a complaint. Allegedly, Foster failed to follow instructions. Supposedly, Foster caused the client to sustain damages. Therefore, UBS Financial Services Inc. opted to settle the matter on June 1, 2020, by compensating the client in the amount of $466,625.37.
Specifically, an RBC Capital Markets Corporation client filed FINRA Arbitration: 09-04867 about Gregory Foster. Namely, the client alleged that Foster failed to follow instructions regarding the liquidation of stocks. Because of this, the client allegedly sustained damages. Therefore, on February 4, 2010, RBC Capital Markets Corporation settled this matter by paying the client $9,999 in damages.
Also, a client of Dain Rauscher Inc. contested Gregory Foster’s sales practices, according to a complaint. Allegedly, Foster failed to execute a stop loss order. Supposedly, Foster caused the client to sustain damages on over-the-counter equities. Therefore, Dain Rauscher Inc. opted to settle the matter on August 15, 2001, by compensating the client in the amount of $5,050.
Have you experienced damages by investing with Gregory Foster? If you have, contact Soreide Law Group at (888) 760-6552 and talk with an investment lawyer about a possible recovery of your losses. Soreide Law Group, who has recovered money for investors throughout the United States, represents clients on a contingency fee basis and advances costs. Foster and brokerage firms Foster worked for deny accusations against them.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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