GREGORY GRANT HUSTON is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 3200 CHERRY CREEK SOUTH DRIVE, SUITE 310, DENVER, CO, 80209.
GREGORY GRANT HUSTON has worked at OPPENHEIMER & CO. INC. since January 03, 2003
Disclosure History
GREGORY GRANT HUSTON has 2 Disclosure Event(s).
Date: March 03, 2016 Category: Regulatory Initiated By: Florida Office of Financial Regulation Allegations: n/a Resolution: Order SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $40,000.00 Broker Comment: THIS ORDER WAS THE RESULT OF A FINDING THAT (BROKER) WAS NOT PROPERLY REGISTERED IN THE STATE AS AN INVESTMENT ADVISOR REPRESENTATIVE WITH OPPENHEIMER. THIS OCCURRED DUE TO AN ADMINISTRATIVE ERROR NOT CAUSED BY (BROKER). (BROKER) WAS PROPERLY REGISTERED WHEN HE RESIDED IN A DIFFERENT STATE. WHEN HE MOVED TO FLORIDA, HIS STATE INVESTMENT ADVISOR REPRESENTATIVE LICENSE WAS NOT PROPERLY TRANSFERRED TO FLORIDA. THIS WAS AN ADMINISTRATIVE INADVERTENT CLERICAL ERROR BY AN ADMINISTRATIVE ASSOCIATE AT OPPENHEIMER. AS A RESULT (BROKER) WAS UNDER THE REASONABLY MISTAKEN BELIEF THAT HE WAS PROPERLY REGISTERED. NO CUSTOMERS WERE HARMED BY THIS ERROR. THE FIRM HAS PAID THE FINE ON BEHALF OF (BROKER).
Date: April 19, 2004 Category: Customer Dispute Allegations: THE CUSTOMER HAS ALLEGED THAT HIS ACCOUNT HAD SUFFERED SOME MAJOR INDIVIDUAL LOSSES ON STOCKS THAT PROVED NOT TO BE SUITABLE INVESTMENTS. DAMAGES UNSPECIFIED BUT BELIEVED TO BE GREATER THEN $5,000.00.E Broker Comment: BASED ON DISCUSSION BETWEEN CIBC PERSONNEL AND CUSTOMER AND REFLECTED IN A LETTER DATED MAY 6, 2004 SENT BY CIBC TO THE CUSTOMER, IT APPEARS THAT THE CUSTOMER DID NOT INTEND THIS MATTER TO BE VIEWED AS A COMPLAINT AND DID NOT WANT CIBC TO REVIEW THE ALLEGATIONS.
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