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Read MoreGregory Stevens: Churning Complaint Against Laidlaw Advisor
Investor complaints against Garden City, New York financial advisor Gregory Stevens (CRD# 5787662) allege churning, unsuitable recommendations, and other forms of misconduct. Financial Industry Regulatory Authority records indicate that he is a broker with Spartan Capital Securities, having previously been registered with Joseph Stone Capital and Laidlaw & Company.
Mr. Stevens’ BrokerCheck report discloses two investor complaints. The most recent, filed in January 2023, alleges that as a representative of Spartan Capital Securities, he breached his fiduciary duty, engaged in negligence and gross negligence, failed in his supervisory duties, and churned investments. The pending complaint alleges unspecified damages.
An earlier investor complaint, filed in 2020, alleged that as a representative of Laidlaw & Company, he over-concentrated investments in the customer’s account, recommended unsuitable investments, and engaged in excessive trading. In October 2022 the complaint reached a settlement of $19,849.
According to the Financial Industry Regulatory Authority, Gregory Stevens holds eight years of securities industry experience. Based in Garden City, New York, he has been a broker with Spartan Capital Securities since 2019. His past registrations include Joseph Stone Capital (Huntington, New York; 2017-2018), Laidlaw & Company (Melville, New York; 2013-2016), and Global Arena Capital Corporation (Melville, New York; 2012-2013). His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He holds licenses in California, Georgia, Iowa, Maryland, Nebraska, New York, North Carolina, Ohio, South Carolina, Texas, Virginia, and Wisconsin. (Information current as of February 13, 2023.)
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