Articles Tagged with New York Broker

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.