Articles Posted in securities

SEC fines securities firms for whistleblower violations
Greco & Greco, P.C.

The Securities and Exchange Commission (SEC) has fined multiple related securities firms for alleged whistleblower violations. The SEC initiated administrative and cease-and-desist proceedings against three financial entities: Nationwide Planning Associates, Inc. (“Nationwide”), NPA Asset Management, LLC (“NPA”), and Blue Point Strategic Wealth Management, LLC (“Blue Point”), collectively referred to as “Respondents”. In response to the…

Continue reading ›
Owensboro, Kentucky Financial Advisor suspended by FINRA
Greco & Greco

A long-time investment advisor with Cantella & Co. based in Owensboro, Kentucky was recently suspended by FINRA for alleged wrongful conduct. Pursuant to FINRA Rule 9216, Gleason submitted a Letter of Acceptance, Waiver, and Consent (AWC) aimed at settling alleged violations and avoiding future repercussions from FINRA based on the same findings. Gleason’s career spanned…

Continue reading ›

Client Reviews

Greco & Greco represented me several years ago in a case in which my financial planner ignored my investment guidelines in making several very risky investments in my name. This individual was employed by a very large financial services corporation which refused to return my funds. I retained Greco...

J.W.

Very professional and compassionate representation by this firm. Communication was clear and concise. This firm has a high degree of integrity and knowledge of SEC law. Highly recommend.

C.A.

Very good attorney - client communication. Great legal representation. Satisfying results.

A.W.

Scott Greco was very professional, and honest. I highly recommend this firm. Scott Greco explained everything in a way I could understand, and I never left the office with unanswered questions. If I ever need any other legal representation Greco & Greco, P.C will be my only choice.

Anonymous | Hired Firm

W. Scott Greco represented me in my attempt to recover money lost in a ponzi scheme. He kindly and skillfully guided me through the process of submitting the required documentation of loss, provided sound legal advice regarding accepting arbitration, and kept me fully informed as the case moved...

Anonymous | Hired Firm

Contact Us

  1. 1 Free Attorney Consultation
  2. 2 Contingency Fees
  3. 3 85 Years Combined Experience
Fill out the contact form or call us at (877) 821-5550 to schedule your free attorney consultation.

Leave Us a Message