Henley & Company Fires Amy Greenberg 

Amy Greenberg (CRD #: 2110985), a broker formerly registered with Henley & Company, was fired from the firm, according to her BrokerCheck record, accessed on September 18, 2022. If you have questions about her conduct as a broker, keep reading.

Discharge from Henley & Company

On July 8, 2022, Amy Greenberg was fired from Henley & Company after allegedly failing to keep her Uniform Application for Securities Industry Registration or Transfer (Form U4) current and accurate. She allegedly failed to disclose material information on multiple occasions, violating the firm’s policies and procedures and FINRA Rule 1122.

FINRA Rule 1122

FINRA Rule 1122 prohibits members from filing membership or registration documents with inaccurate or incomplete information and from failing to correct these documents.

Tax Liens

From 2018-2021, Amy Greenberg was penalized with a total of $566,445.50 in tax liens.

FINRA Suspension

On November 4, 2016, Amy Greenberg consented to the entry of findings that she allegedly failed to disclose tax liens filed against her by the IRS on her Form U4 in a timely manner.

A Letter of Acceptance, Waiver, and Consent (AWC) states that this allegation violated Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010.

Article V, Section 2(c) of FINRA’s By-Laws

Article V, Section 2(c) of FINRA’s By-Laws requires members to keep their application for registration current at all times, and to amend their application within 30 days of learning of the circumstances requiring a change to the form.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

 Amy Greenberg consented to the following sanctions:

• $5,000 fine
• Three-month suspension

Her suspension began on December 5, 2016, and ended on March 4, 2017.

You can read a copy of the AWC here.

Background Information

Amy Greenberg has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination

In the past, she worked for the following firms:

• Henley & Company (CRD#:131453)
• Raymond James Financial Services (CRD#:6694)
• Prudential Investment Management Services (CRD#:18353)
• Prudential Securities (CRD#:7471)

Kurta Law Can Help

If you worked with Amy Greenberg and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.