Ann Greene Allegedly Failed to Supervise

Ann Greene (CRD #: 1616048), a broker registered with Oppenheimer & Company, allegedly failed to supervise, according to her BrokerCheck record, accessed on March 1, 2023. If you have questions about her alleged conduct as a broker, read on.

Investor Dispute

On December 19, 2022, an investor alleged that Ann Greene failed to supervise other brokers who were allegedly engaged in a Ponzi scheme from 2008-2021. This dispute is currently pending.

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish supervisory systems to ensure their compliance with securities regulations. Among other things, firms must ensure that supervisory personnel have the training or experience necessary for their role.

Background Information

Ann Greene has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• Series 99TO – Operations Professional Examination
• SIE – Securities Industry Essentials Examination
• Series 3 – National Commodity Futures Examination
• Series 7 – General Securities Representative Examination
• Series 9 – General Securities Sales Supervisor – Options Module Examination
• Series 10 – General Securities Sales Supervisor – General Module Examination
• Series 27 – Financial and Operations Principal Examination
• Series 4 – Registered Options Principal Examination
• Series 24 – General Securities Principal Examination

Ann Greene is a registered broker in Georgia and New York.

She has also worked for the following firms:

• Newbridge Securities (CRD#:104065)
• Indianapolis Securities (CRD#:10399)
• Whale Securities Company (CRD#:13516)
• Laidlaw Equities (CRD#:19018)
• JW Charles Securities (CRD#:6631)
• Raymond James & Associates (CRD#:705)

Kurta Law Can Help

If you worked with Ann Greene 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.