Gregory Barson Named in Dispute Alleging Failure to Supervise

Gregory Barson (CRD #: 4874815), a broker registered with Investment Planners, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on April 20, 2023. Investors may have also worked with him through IPI Wealth Management. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On March 17, 2023, an investor named Gregory Barson in allegations of misrepresentation, failure to supervise, and lack of suitability with regard to investments made on the client’s behalf. The client seeks $99,000 in this pending dispute.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise fraudulent tactics to influence investors’ decisions. This includes the misrepresentation or omission of information, such as an investment’s features, limitations, or risks.

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish supervisory systems to ensure their compliance with securities regulations. Firms must appoint supervisors and provide them with Written Supervisory Procedures (WSPs) to follow.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to suit investors’ profiles. These profiles contain information about investors’ age, risk tolerance, and investment goals.

Investors who rely on brokers for recommendations may be able to recover their losses by seeking out FINRA arbitration.

Background Information

Gregory Barson has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 24 – General Securities Principal Examination

Gregory Barson is a registered broker in California, Nevada, and Utah. He is also a registered investment adviser in Nevada.

He has also worked for the following firms:

• Crown Capital Securities (CRD#:6312)
• Newport Coast Securities (CRD#:16944)
• Newbridge Financial Services Group (CRD#:130814)
• Newbridge Securities (CRD#:104065)
• Regal Securities (CRD#:7297)
• Regal Advisory Services (CRD#:123842)
• Brookstreet Securities (CRD#:14667)
• ING Financial Partners (CRD#:2882)

Kurta Law Can Help

If you worked with Gregory Barson 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.