Long history of misconduct ends seventeen-year career
Gregory Flemming, Jr. has a troubled past when it comes to his career in the securities industry. In addition to allegations of failing to disclose tax warrants, a tax lien and a judgment on his U4 (required industry documentation), he has also been accused of negligent misrepresentation, unsuitable private placement and failure to follow instructions to enter a stop loss order, the culmination of which is a permanent suspension from the industry.
Flemming has also been the subject of criminal charges, including one guilty charge for reckless endangerment in the first degree and another for criminal impersonation, disorderly conduct and aggravated unlicensed operator.
His employment history spans several firms, including:
- Salomon Whitney Financial in Farmingdale, New York
- Rockwell Global Capital in Melville, New York
- John Thomas Financial
- EKN Financial Services
Several of the firms that Flemming has been employed at were also expelled by FINRA.
If you have lost money after working with Flemming, you may be able to recoup some of those losses with the help of an securities attorney. Silver Law Group’s attorneys are leaders in the field of FINRA and securities arbitration. We represent individual and institutional investors across the United States that have lost money at the hands of a trusted financial advisor. We provide our services on a contingency-fee basis, which means we are only compensated if there is a recovery of losses. For more information, contact us for a complimentary consultation.