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WARNING! Impending Investigation: ANTHONY C. GRAY and EDWARD JONES

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26
Oct

WARNING! Impending Investigation: ANTHONY C. GRAY and EDWARD JONES

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WARNING!  Impending Investigation:  ANTHONY C. GRAY and EDWARD JONES

Anthony C. Gray and Edward Jones

 

Have you lost money with financial advisor Anthony Gray of Baton Rouge, Louisiana?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony C. Gray. FINRA barred Gray from the securities industry after he was alleged to have stolen $138,000 from an elderly couple between 2013 and 2015.  It was alleged that Gray instructed the couple to give him blank checks, and Gray either wrote checks to himself or to an affiliated business that he owned.  Gray then used the funds for personal expenses.

 

Anthony Gray was a financial advisor and registered representative of Edward Jones from July 2013 to October 2015.  He worked at a branch office in Baton Rouge, Louisiana.

 

Brokerage firms like Edward Jones have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Louisiana. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.

 

HAVE YOU LOST MONEY WITH ANTHONY C. GRAY or EDWARD JONES?   

 

                 Contact Israels & Neuman, PLC for a Free Consultation

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798

 

Click to view:  Gray FINRA AWC

Click to view:  Gray BrokerCheck 10.22.15

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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