Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 2, 2016 indicate that former Pennsylvania-based H. Beck broker Gregory Bauer has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bauer (CRD# 2552478).
Gregory Bauer has spent thirteen years in the securities industry and was most recently registered with H. Beck in Moon Township, Pennsylvania (2013-2016). Previous registrations include Waddell & Reed in Pittsburgh, Pennsylvania (2004-2013) and H. Beck in Bethesda, Maryland (2003-2004). He is currently not registered with any state or firm.
According to his BrokerCheck report, Gregory Bauer has received one regulatory sanction and was terminated from H. Beck.
In October 2016 FINRA sanctioned Gregory Bauer following allegations he “forged the signatures of firm customers, caused the unauthorized sale of securities, intercepted checks in the mail, deposited the checks into his own bank account, and used the funds for his personal expenses without permission,” and ultimately “converted more than $400,000 from the customers.” He was permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public
In September 2016 Gregory Bauer was terminated from his position at H. Beck following allegations he “Misappropriated funds of two client accounts at his prior broker-dealer Waddell & Reed.”
If you have complaints regarding Gregory Bauer, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.