September 2018- New York
Gregory Don Patterson , a stockbroker who is currently registered with Four Points Capital Partners, a Texas LLC, (Four Points) discloses a prior customer dispute, a currently pending regulatory investigation and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Patterson discloses that in 12/2014 Montana securities regulators instituted and investigation of alleged unsuitable recommendations and excessive trading in customer accounts. The matter is currently pending according to Patterson’s FINRA records.
According to FINRA records Patterson has been employed by Four Points Capital Partners since 4/2013. Prior to that he was employed by National Securities Corp. and before that Woodstock Financial Group.
In 5/2000 Patterson voluntarily resigned from S. G. Martin Securities who makes the following allegation on his regulatory record: “Firm alleges Patterson was planning on leaving the firm and that Patterson may have been acting in concert with other representatives to systematically divert the firm’s customers away from the firm while still employed by the firm.”
If you have questions about an account handled by Gregory Patterson or if you have an account with Four Points Capital Partners that you think has been mishandled, contact us for a no charge consultation to discuss your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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