Alex Williams (CRD# 2646185), a broker and investment adviser based in New York, has received a pending customer complaint. According...Read More
Gregory Stouffer: NYC Broker Investigated, Barred
Former Fidelity Brokerage Services and JP Morgan broker Gregory Stouffer (CRD# 807506) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he failed to cooperate with an investigation into his conduct. Previously associated with those firms’ offices in New York City, he was barred from affiliating with any FINRA firm.
According to a Letter of Acceptance, Waiver, and Consent (No. 2019062357401) dated April 2020, Gregory Stouffer was associated with JP Morgan Securities as a General Securities Representative, General Securities Principal, Municipal Securities Principal, and General Securities Sales Supervisor from October 2012 until his voluntary resignation in December 2012. From December 2012 he became registered with another firm as a General Securities Representative, General Securities Principal, Municipal Securities Principal, and General Securities Sales Supervisor until his voluntary resignation in April 2019. In March 2020, as part of an investigation into unspecified conduct, FINRA sent him a request to provide information and on-the-record testimony. He informed FINRA in an email on April 11, 2020, and via his counsel in a phone call on April 13, 2020, that he had received FINRA’s request but would not provide the requested information or appear for the requested on-the-record testimony “at any time.” FINRA states that his refusal to produce information or appear for testimony constituted violations of FINRA Rules 8210 and 2010. As a result of the foregoing alleged conduct, he was barred from association with any FINRA member in any capacity.
Gregory Stouffer is currently not registered as a broker. His previous registrations include Fidelity Brokerage Services, JP Morgan Securities, Chase Investment Services, and Merrill Lynch. He has passed seven securities industry qualifying examinations: Uniform Combined State Law Examination, or Series 66; Securities Industry Essentials Examination, or SIE; General Securities Representative Examination, or Series 7; General Securities Sales Supervisor – Options Module Examination, or Series 9; General Securities Sales Supervisor – General Module Examination, or Series 10; Municipal Securities Principal Examination, or Series 53; and General Securities Principal Examination, or Series 24. His BrokerCheck report lists zero state securities licenses. (Information current as of June 2, 2020.)