Tag Archives: Citigroup Global Markets investigation

John M. Gregory-Former Citigroup Broker-Discloses Termination from Employment

White Plains, New York

According to FINRA records,  John M. Gregory   a stockbroker  who currently works  for Prospera Financial Services , discloses  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.

Gregory discloses  that in 3/2015 he was discharged from CItigroup Global Markets. The discharge came following a review of documents in which the client signed documents in blan, some of which were later attached to prepopulated forms, and it appears that there is altered information on other forms, according to the company.

Gregory was employed by Citigroup Global Markets from 12/2010-4/2015. He has been employed by Prospera Financial Services since 4/2015.


If you have questions about an account handled  by John M. Gregory, call for a no charge consultation.

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.

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