Gregg Darren Templeton (Gregg Templeton) Formerly Licensed with Oppenheimer & Co. Inc., Barred from Securities Industry – Goodman & Nekvasil P.A, May Recover Your Investment Losses

Goodman & Nekvasil P.A, May Recover Your Investment Losses - Gregg Darren Templeton (Gregg Templeton) Formerly Licensed with Oppenheimer & Co. Inc., Barred from Securities Industry

Gregg Templeton was licensed with Oppenheimer & Co. Inc. from 2007 to 2015. Gregg Templeton was subsequently licensed with FSC Securities Corporation and Aegis Capital Corp. Gregg Templeton was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on April 20, 2017. According to FINRA, Gregg Templeton consented to the sanction and to the entry of findings that Gregg Templeton failed to provide documents and information requested by FINRA during the course of an investigation into allegations that Gregg Templeton, among other things, misused customer funds and committed other sales practice violations.

FINRA reports that 3 complaints and/or arbitration claims have been filed involving Gregg Templeton’s conduct with Oppenheimer & Co. Inc, alleging unauthorized trading, misappropriation, fraud, breach of fiduciary duty, breach of contract, and/or negligent supervision/hiring. These complaints and/or arbitration claims all settled, with the largest settling for $562,500. 

FINRA reports that an arbitration claim involving Gregg Templeton’s conduct with Oppenheimer & Co. Inc. is currently pending. This pending claim alleging fraud and breach of contract seeks $6,750,000.

FINRA reports that Gregg Templeton was previously terminated by Morgan Stanley DW Inc. in 2006. Morgan Stanley DW Inc. reported to FINRA that Gregg Templeton was accused of failing to obtain approval for website and to notify the firm of material change in previously approved outside business activity.

If you lost any money on investments with Gregg Templeton, or if funds were misappropriated from you, you may be able to recover your losses from Oppenheimer & Co. Inc., FSC Securities Corporation, and/or Aegis Capital Corp. This is because Oppenheimer & Co. Inc., FSC Securities Corporation, and Aegis Capital Corp. had a duty to supervise Gregg Templeton.

If you lost money on investments with Gregg Templeton and believe that the investments may have been unsuitable or otherwise improper for you, or if funds were misappropriated from you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Oppenheimer & Co. Inc., FSC Securities Corporation, and/or Aegis Capital Corp. concerning Gregg Templeton’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Gregg Templeton, or if funds were misappropriated from you and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

 

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