Gregg Templeton, formerly of Oppenheimer & Co., Barred from Securities Industry
Have you lost money with financial advisor Gregg Templeton of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Gregg D. Templeton. FINRA barred Templeton from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Templeton after he allegedly misused customer funds and committed other sales practice violations between July 2010 and July 2015.
Gregg Templeton was a financial advisor and registered representative of Oppenheimer & Co. from 2007 to August 2015. Templeton was also affiliated with FSC Securities Corporation from September 2015 to January 2016, and with Aegis Capital Corp. from January 2016 to March 2016. He worked at a branch office in New York, New York. Templeton has been the subject of at least seven customer disputes. Templeton was also terminated by Oppenheimer & Co. after he allegedly engaged in raising capital without permission from the firm.
Brokerage firms like Oppenheimer & Co. have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Templeton, Gregg BrokerCheck 4.24.17
Click to view: Templeton, Gregg FINRA AWC
If you lost money with Gregg Templeton or Oppenheimer & Co., please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.