Stoltmann Law Offices is investigating Gordon Hay Green, a former broker with Financial Network Investment Corp. Green recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) in which he was fined $7,500 and suspended from the industry for eight months. According to his AWC, Green communicated with an investor who was a customer of his member firm, regarding business which was not a firm email address. The email address was not approved or registered by Financial Network. This is against securities rules and regulations.
Green was registered with NYLife Securities in New York, New York from March 1998 until May 2000, LifeMark Securities Corp in Rochester, New York from August 2000 until July 2002, Atlas Brokerage Company in Washington, Pennsylvania from June 2002 until July 2003, Nationwide Securities Inc. in Columbus, Ohio from July 2003 until March 2005, Blue Vase Securities in Washington, Pennsylvania from May 2005 until October 2005, Financial Network Investment Group in Potomac Falls, Virginia from October 2005 until December 2012 and Financial Telesis Inc in Alexandria, Virginia from June 2014 until August 2014. He is not currently registered with any firm and he is not licensed within the industry, according to his FINRA BrokerCheck report.
Did you or someone you know invest and lose money with Gordon Hay Green? If so, you may be able to sue his former firm, Financial Network Investment Corp, for investment losses. They had a duty to reasonably supervise him while he was employed there. Our number is 312-332-4200 and we sue firms in the FINRA arbitration forum. The call is free with no obligation so please call soon, as time is of the essence.
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