Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 20, 2017 indicate that Vermont-based Sentinel Financial Services broker/adviser Gregory Teese has been named in a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Teese (CRD# 2135269).
Gregory Teese has spent 25 years in the securities industry and has been registered with Sentinel Financial Services in Montpelier, Vermont since 1993 and with Equity Services in Montpelier, Vermont since 1991. He has no previous registrations. He is a registered broker and investment adviser with seven US states and territories: Indiana, Nebraska, Nevada, Oklahoma, Texas, Vermont and Wisconsin.
According to his BrokerCheck report, Gregory Teese has received one pending customer complaint.
In October 2016 a customer alleged Gregory Teese, while employed at Equity Services, failed to “create adequate supervisory procedures with the respect to the sale of private placements” in tenant-in-common properties. The customer is seeking $280,000 in damages in the pending complaint.
FINRA Rule 3110(a)(2) mandates that broker-dealer firms must assign “an appropriately registered principal(s)” to perform supervisory duties for every type of business the firm conducts. Supervisory principals are responsible for ensuring that both individual representatives and firms as a whole comply with securities laws, rules and regulations. Principals who fail in their supervisory duties may be subject to disciplinary action by FINRA or the Securities and Exchange Commission.
If you or someone you know has complaints regarding Gregory Teese, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.