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Gregory Iglow Named in Dispute Alleging Violations of State and Federal Securities Laws

May 24, 2023 Investor Disputes

Gregory Iglow (CRD #: 2783963), a broker registered with Oppenheimer & Company, is involved in a pending dispute, according to his BrokerCheck record, accessed on May 18, 2023. If you have questions about his alleged conduct as a broker, keep reading.

Investor Dispute

On March 29, 2023, multiple investors filed a dispute naming Gregory Iglow in allegations of the following with regard to purchases of Capital Trust Agency Florida Senior Living Bonds in 2019 and 2020:

The clients seek $231,826 in damages in this pending dispute.

FINRA Rule 3110

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

FINRA Rule 2010

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

FINRA Rule 2111

FINRA Rule 2111 requires that brokers tailor their investment recommendations to an investor’s profile, which describes their tax status, risk tolerance, and other characteristics.

Investors who rely on brokers for investment recommendations can pursue FINRA arbitration and potentially recover their losses.

FINRA Rule 2020

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

What are Blue Sky laws?

Blue sky laws are state regulations that provide investors with an additional layer of protection against securities fraud. They typically also define what investments must register with the state securities board.

What qualifies as broker negligence?

Many types of broker misconduct may qualify as negligence. Common examples include unsuitable investment recommendations, excessive trading, and failure to supervise other brokers.

Investors who feel their losses are the result of broker negligence may be able to recover their funds by seeking out FINRA arbitration

Background Information

Gregory Iglow has passed the following exams:

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

Gregory Iglow is a registered broker in 27 states and a registered investment adviser in California and Texas.

He has also worked for the following firms:

  • RBC Dain Rauscher (CRD#:31194)
  • Prudential Securities (CRD#:7471)
  • M.L. Stern & Company (CRD#:8327)

Kurta Law Can Help

If you worked with Gregory Iglow and you have concerns about your investments, please contact us today at 877-600-0098 or 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.