Stoltmann Law Offices is investigating Anthony Gary Epps, a former broker with NYLife Securities in White Plains, New York. Epps recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) in which he was suspended from associating with any member firm for one year. According to his AWC, FINRA found that Epps allegedly participated in an undisclosed private securities transaction by investing his personal funds in a privately-held startup company, NHJ. He also allegedly referred at least four potential investors to invest in the NHJ and provided information to them regarding the company over the telephone. FINRA also alleged that Epps participated in meetings between NHJ managers and customers. These are against securities rules and regulations.
Epps was registered with The Equitable Life Assurance Society of the United States from May 1982 until September 1985, Equico Securities from May 1982 until September 1985, Life Planning Inc. from August 1985 until July 1987, NYLife Securities in Rye, New York from July 1987 until June 2009, NYLife Distributors in Sleepy Hollow, New York from September 2009 until March 2012 and NYLife Securities in White Plains, New York from June 2012 until June 2013. He has four customer disputes against him, according to his FINRA BrokerCheck report.
If you lost money with Anthony Gary Epps, please call our securities law firm at 312-332-4200 to speak to an attorney. We sue firms such as NYLife Securities to recover money for investors. They may be liable for investment losses. The call is free with no obligation and we take cases on a contingency fee basis only.
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