Gregory Walter McCloskey (Gregory McCloskey) – Customer Disputes Filed Involving Financial Advisor/Broker Gregory McCloskey | Goodman & Nekvasil P.A. May Recover Investor Losses
Gregory Walter McCloskey (Gregory McCloskey) CRD #2820510
Gregory McCloskey was a previously licensed financial advisor/broker with WestPark Capital, Inc. and Newport Coast Securities, Inc.
According to Gregory McCloskey’s BrokerCheck report, a customer dispute has been filed alleging sales practice violations against Gregory McCloskey.
Customer Dispute (4/30/2018): Allegations against Gregory McCloskey include misrepresentation, suitability concerns, and high fees. This customer dispute is currently pending and seeks $20,000 in damages.
According to Gregory McCloskey’s BrokerCheck report, Gregory McCloskey was permitted to resign from WestPark Capital, Inc. in October 2019. WestPark Capital, Inc. alleged that Gregory McCloskey failed to follow the Firm’s Heightened Supervision plan.
According to Gregory McCloskey’s BrokerCheck report, FINRA initiated an investigation against Gregory McCloskey’s conduct in February 2020. According to FINRA, FINRA made a preliminary determination to recommend that disciplinary action be brought against Gregory McCloskey alleging violations of NASD Rule 3040, FINRA Rule 3280, NASD Rule 2110, and FINRA Rule 2010 in that Gregory McCloskey participated in undisclosed private securities transactions; violation of FINRA Rule 2010 in that Gregory McCloskey made false statements to his member firm in a compliance questionnaire; Violation of FINRA Rules 8210 and 2010 in that Gregory McCloskey provided false written information and false testimony to FINRA in a prior investigation, Violation of FINRA Rule 2010 in that Gregory McCloskey prepared and provided a firm customer with false account summaries; Violation of FINRA Rule 2010 in that Gregory McCloskey settled a customer complaint without the knowledge or approval of his firm; Violation of FINRA Rule 2010 in that Gregory McCloskey attempted to obstruct a FINRA investigation; and Violation of NASD Rule 3110, FINRA Rule 4511, and FINRA Rule 2010 in that Gregory McCloskey used an unapproved personal email account to conduct securities-related business, causing his employing firms to have inaccurate books and records.
Goodman & Nekvasil, P.A. May Recover Investor Losses
If you lost any money on investments with Gregory McCloskey, you may be able to recover your losses. If you lost money on investments with Gregory McCloskey and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Gregory McCloskey’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.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Gregory McCloskey 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.
Some of the information in this blog post was obtained on 12/2/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.