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Robert Gregory Named in Dispute Alleging Misappropriation

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
September 11, 2025 at 7:27pm

Robert Gregory (CRD #: 4009187), a broker registered with Wells Fargo Advisors Financial Network, is the subject of a pending dispute, according to his BrokerCheck record, accessed on August 16, 2025. Investors may have also engaged his services through Wells Fargo Advisors. Read on for more information about his alleged conduct as a broker.

Investor Dispute

A dispute filed on July 17, 2025, alleged that Robert Gregory engaged in misappropriation in relation to certain assets belonging to an estate. This dispute is currently pending.

FINRA Rule 2150

FINRA Rule 2150 prohibits the improper use of investors’ funds.

FINRA Rule 2010

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

Background Information

Robert Gregory has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

Robert Gregory is a registered broker in 19 states and a registered investment adviser in New Jersey and Texas.

He has also worked for Morgan Stanley (CRD#:149777) and Citigroup Global Markets (CRD#:7059).

Kurta Law Can Help

If you worked with Robert Gregory 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 that 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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