FINRA Reportedly Bars James McKinney after Alleged Failure to Provide Information in its Investigation
Financial Advisor James Gregory McKinney (aka Greg McKinney), Cetera Advisors in Tulsa, Oklahoma
Are you concerned about investments with James Gregory McKinney (Greg McKinney) in Tulsa, Oklahoma? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.
According to public records, on November 5, 2019, McKinney was reportedly named a respondent in a FINRA complaint alleging “that he failed to comply with FINRA requests for information, documents and on-the-record testimony in connection with an investigation of him for possible violations of FINRA rules.”
Update on March 2, 2020
According to a default decision posted to FINRA’s website on Friday, McKinney has reportedly been barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents and failing to provide testimony during a FINRA investigation.
McKinney was reportedly affiliated with Cetera Advisors in Tulsa, Oklahoma from 2012 until 2019, according to his FINRA BrokerCheck report. He reportedly has 3 customer complaints filed against him. Allegations include unsuitable recommendations and unauthorized transactions, among others. McKinney’s record also indicates that he allegedly has 3 judgment/liens reported since 2012.
The most recent complaint was purportedly filed in 2017.
The White Law Group is continuing its investigation regarding the liability that McKinney’s employers may have for failure to properly supervise him.
Brokerage firms are required to properly supervise their advisors. They must ensure that those advisors are complying with applicable FINRA rules and regulations. If it can be demonstrated that McKinney’s employers failed to properly supervise him, the firm may be held responsible for the losses in a FINRA arbitration claim.
If you are concerned about your investments with James McKinney (Greg McKinney), please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.
For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.