RedFlag, Allegation and/or Complaint against GREGORY SQUIRE HURST
Disclosure #1 for GREGORY HURST
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- Event Date: 10/28/2004
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: IN AN E-MAIL FROM CLIENT TO BROKER, CLIENT WRITES, \I AM NOT SURE I UNDERSTAND THE MERITS OF SELLING SEVERAL (I THOUGHT U INDICATED THAT THEY HAD ALL MATURED OR ONLY 1 OR 2 LEFT WERE VERY CLOSE TO MATURING SO, NO FEES WLD BE INCURRED IN SALES!) OF MUTUALS THAT WERE B’ SHARES . . . ALSO: WE NEVER DISCUSSED SELLING SK’S SUNW’ . . . I THOUGH I WOULD HOLD IT UNTIL IT REBOUNDED TO ABOVE PURCH PRICE.\ TIME PERIOD IS 2004. ALLEGED DAMAGES: ESTIMATED TO EXCEED $5,000. IN SUBSEQUENT CORRESPONDENT RECEIVED 01/02/2006 CLIENT ALLEGES MISREPRESENTATION RELATING TO CDSCS IN B-SHARES LIQUIDATIONS, UNAUTHORIZED TRADING (\[YOU TOOK IT UPON YOURSELF TO LIQUIDATE MY PORTFOLIO WITHOUT MY PERMISSION NOR APPROVAL YOU ALSO, PUT ME INTO A PORTFOLIO WITHOUT MY KNOWLEDGE & INFORMED CONSENT\) AND UNSUITABLE INVESTMENT RECOMMENDATIONS (\I HAVE BEEN TOLD, THAT BY HAVING MY PORTFOLIO IN A DISPROPORTIONATELY HIGH PERCENTAGE OF HEDGEFUNDS . . CLEARLY IS NOT IN CONCERT WITH THE PHILOSOPHY I REQUESTED AND WAS PROMISED (INCOME PRESERVATION AND LOW RISK).\) TIME PERIOD IS 2004.
- Arbitration Docket Number:
- Broker Comment: COMPLAINT EVOLVED INTO ARBITRATION. MR. HURST WAS NOT NAMED AS A RESPONDENT IN THE ARBITRATION.
Should I file a FINRA complaint against brokers like GREGORY SQUIRE HURST?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally reported on November 17, 2022 @ 8:59 pm
