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Greg Mason Allegedly Failed to Follow Investor’s Instructions

Greg Mason (CRD #: 5174552), a broker registered with LPL Financial, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on March 3, 2023. Keep reading to learn more about his alleged conduct as a broker.

Investor Dispute

On December 15, 2022, an investor filed a dispute alleging that Greg Mason failed to follow their instructions. This dispute is currently pending.

FINRA Rule 2010

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

Background Information

Greg Mason has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Greg Mason is a registered broker in 11 states and a registered investment adviser in Mississippi, New Mexico, and Texas.

He has also worked for the following firms:

  • Infinex Investments (CRD#:35371)
  • Cetera Investment Advisers (CRD#:105644)
  • Cetera Investment Services (CRD#:15340)
  • PNC Investments (CRD#:129052)
  • Hancock Investment Services (CRD#:40637)
  • Investment Professionals (CRD#:30184)
  • Edward Jones (CRD#:250)

Kurta Law Can Help

If you worked with Greg Mason 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.