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Investors Allege Gregory Hauth Made Misrepresentations

Gregory Hauth (CRD #: 3264033), a broker registered with Wells Fargo Clearing Services, allegedly made misrepresentations, according to his BrokerCheck record, accessed on December 26, 2022. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On November 6, 2022, multiple investors filed a dispute alleging that Gregory Hauth misrepresented capital gains and the role of outside money managers from January 20, 2022, to the date of filing. This dispute was denied by the firm.

Investors should know, however, that firms don’t need to allow an outside review before denying disputes. Investors can still pursue FINRA arbitration after a denial and may be able to recoup their losses.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of deception, manipulation, and other fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

Background Information

Gregory Hauth has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

Gregory Hauth is a registered broker in 28 states and a registered investment adviser in Texas and Washington.

He has also worked for the following firms:

  • Morgan Stanley Smith Barney (CRD#:149777)
  • Citigroup Global Markets (CRD#:7059)
  • Oppenheimer Asset Management (CRD#:105559)
  • Fahnestock & Company (CRD#:249)
  • CIBC World Markets (CRD#:630)

Kurta Law Can Help

If you worked with Gregory Hauth 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. 

 

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