Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 30, 2017 indicate that New Jersey-based GMS Group broker Cormac Maughan has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Maughan (CRD# 1528683).
Cormac Maughan has spent 31 years in the securities industry and has been registered with The GMS Group in Livingston, New Jersey since 2004. Previous registrations include AG Edwards & Sons in St. Louis, Missouri (1995-2004); Nori Hennion Walsh in Parsippany, New Jersey (1990-1995); and Municipal Investors Service in Newark, New Jersey (1986-1990). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 26, 1986; Series 7 (General Securities Representative Examination), which he obtained on March 21, 1987; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 11, 1986. He is a registered broker with 18 US states and territories: Alabama, Arizona, California, Colorado, Connecticut, Florida, Hawaii, Illinois, Iowa, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, South Carolina, Texas, Virginia and Washington. He is registered with two self-regulatory organizations: FINRA and the Nasdaq Stock Market.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two regulatory sanctions.