1.800.931.8452
We can help recover your investment loss. Free consultations, always. CONTACT US

Presidential Brokerage Finanical Advisor, Gregory J. Williams, Has Four Customer Complaints, Including Two Pending Complaints

The Wolper Law Firm is currently investigating claims against Gregory J. Williams, a Financial Advisor at Presidential Brokerage in Greenwood Village, Colorado.  Gregory J. Williams has been in the securities industry since 1986 and previously worked at Morgan Stanley.

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Gregory J. Williams has been the subject of four customer complaints, alleging sales practice violations, including two complaints filed in 2018.

  • June 2018—” ALLEGATIONS INCLUDE UNSUITABILITY, MISREPRESENTATION.”  Alleged damages are $151,000 and the matter remains pending.
  • June 2018—”ALLEGATIONS INCLUDE UNAUTHORIZED TRANSFER, UNSUITABILITY, MISREPRESENTATIONS AND OMISSIONS, FAILURE TO SUPERVISE, FRAUD, BREACH OF FIDUCIARY DUTY FROM MAY 2012 THROUGH MARCH 2018.”  Alleged damages are $1.2 million and the matter remains pending. 
  • February 2009—”CLAIMANT ALLEGES, INTER ALIA, THAT BEGINNING IN OCTOBER OF 2005 THE FINANCIAL ADVISOR MADE AN EXCESSIVE AMOUNT OF UNAUTHORIZED AND UNSUITABLE TRADES IN HER ACCOUNT.”  The matter was settled for $25,000. 

For a copy of the Gregory J. Williams’s CRD, click https://brokercheck.finra.org/individual/summary/1561089#disclosuresSection

Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients.  To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.  

The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis.  Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities.  Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.  We can be reached at 800.931.8452 or by email at mwolper@wolperlawfirm.com.

Now is the time to talk to an investment loss recovery lawyer. We can help recover your investment loss. Free consultations, always.

Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis

Additional Office Locations (by appointment only)

Atlanta

3355 Lenox Road
Suite 7
Atlanta, GA 30326

Indianapolis

13295 N. Illinois St.
Suite 314
Indianapolis, IN 46032

New York City

275 Madison Avenue
Suite 705
New York, NY 10016

Dallas

3102 Maple Ave.
Suite 400
Dallas, TX 75201

Irvine

2600 Michelson Drive
Suite 1700
Irvine, CA 92612

Portland

5933 NE Win Sivers Drive
Suite 205
Portland, OR 97220

Denver

7900 E. Union Ave.
Suite 1100
Denver, CO 80237

Naperville

1700 Park Street
Suite 103
Naperville, IL 60563

Seattle

1001 Fourth Ave.
#3200
Seattle, WA 98154

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis