Investors apparently complained about securities broker Gregory Baines Iglow [CRD: 2783963, Agoura Hills, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Iglow has worked for Oppenheimer Co. Inc. beginning on June 14, 2007, where he has been registered as both a broker and an investment adviser. Investors should continue reviewing the disclosures below to learn more about the client disputes involving Iglow.
Evidently, a client of Oppenheimer Co. Inc. filed FINRA Arbitration No. 23-00735 regarding Iglow. The client alleged that Iglow was negligent, made unsuitable recommendations, and violated state and federal securities laws by making misrepresentations and omissions. It was alleged that these actions caused losses in municipal bonds tied to senior living projects. On February 12, 2024, Oppenheimer Co. Inc. settled the matter by paying the client $50,000 in damages.
Also, a client of Oppenheimer Co. Inc. disputed Iglow’s sales practices by filing Civil Action No. BC427035. Allegedly, Iglow made misrepresentations and omissions. It appears that Iglow allegedly caused the client to sustain damages associated with auction rate securities. As a result, Oppenheimer Co. Inc. opted to settle the matter on March 16, 2011, by paying the client $3,164,250.
Particularly, an RBC Capital Markets Corporation client filed FINRA Arbitration No. 09-05195 about Gregory Iglow. Mainly, the client alleged that Iglow breached his fiduciary duty, made unsuitable recommendations, was negligent, made misrepresentations, and made omissions. For this reason, the client allegedly sustained damages. Consequently, on May 13, 2010, a FINRA Arbitration Panel issued an Award ordering RBC Capital Markets Corporation and Iglow to pay the client $15,406 in compensatory damages.
Did you suffer any investment-related losses because of Gregory Iglow? If so, reach out to Soreide Law Group online or call (888) 760-6552 to speak with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Iglow and the brokerage firms he worked for deny allegations of sales practice violations.
Investors apparently complained about securities broker John James Pescatore [CRD: 2183696, Boca Raton, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Pescatore worked for Oppenheimer Co. Inc. from January 9, 2006, to October 31, 2025, and later registered with Ameriprise Financial Services LLC beginning October 27, 2025, as a broker and […]
Investors potentially incurred losses because of securities broker Peter Hill (also known as Pete Hill) [CRD: 2432123, Des Moines, Iowa], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hill worked for Voya Financial Advisors Inc. from January 1, 2004, to May 11, 2020, and later registered with Cambridge Investment Research Inc. […]
Investors potentially experienced sales practice violations by securities broker Nathan Goad (also known as Nate Goad) [CRD: 5421740, Wayne, Pennsylvania], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Goad worked for J. Alden Associates Inc. beginning January 7, 2022, and has also been registered as an investment adviser with Alden Investment Group […]
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