Littleton, Colorado based broker Gregory Hanshew, also known as Greg Scott Hanshew, was recently sanctioned for alleged failure to provide a complete response to FINRA’s requests for information during the course of its investigation into “various sales practice violations involving senior investors,” as well as failures to disclose OBAs, and judgments and liens, according to FINRA’s Office of Hearing Officers Decision (OHO Decision), under review by attorney Alan Rosca.
Securities lawyer Alan Rosca of the Rosca Scarlato LLC law firm and his colleagues are investigating Gregory Hanshew’s alleged violation of FINRA rules by failing to provide complete responses to the FINRA’s requests. Investors who are concerned about their investments with Hanshew are encouraged to contact attorney Alan Rosca or his colleagues for a free case evaluation and discussion of available options, or to provide any useful information, by calling toll free 888-998-0530, via email at arosca@rscounsel.law, or through the contact forms on this page.
Gregory Hanshew Barred by FINRA
In March 15, 2022, the FINRA Department of Enforcement filed a complaint revealing that FINRA has been investigating Hanshew since February 2021 following “concerns that Hanshew was engaged in various sales practice violations involving senior investors, as well as failures to disclose outside business activities and judgments and liens while he was associated with Infinity”.
Two weeks later, following Hanshew’s alleged failure to file an Answer to FINRA’s complaint, the Department of Enforcement allegedly filed a motion for entry of default decision and a request for sanctions, the OHO Decision reveals.
The OHO Decision further reveals that Greg Hanshew was failed to respond to FINRA’s motion, and as a result the panel found the allegations in the complaint admitted and barred Gregory Hanshew from associating with any FINRA member firm in any capacity.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any Brokercheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog and are the governing materials in case of any inconsistencies or typos in this blog.
Gregory Hanshew Has Been Registered with FINRA Since 1995
Gregory Hanshew joined the securities industry in July 1995, and since then has been associated with ten broker dealer firms, as revealed by his FINRA Brokercheck Report. Between July 1995 and July 1998 he was simultaneously registered with IDS Life Insurance Company and American Express Financial Advisors Inc, both in Minneapolis, Minnesota. Subsequently, Hanshew joined the Denver, Colorado branch of Walnut Street Securities where he stayed until February 2006, when he joined LPL Financial Corporation in Greenwood Village, Colorado. Gregory S. Hanshew left LPL in December 2009 and did not appear as registered until November 2012 when he joined National Planning Corporation in Denver, Colorado.
In December 2012 Hanshew joined First Financial Equity Corporation where he stayed until September 2013. Between September 2013 and November 2013 he was a broker at Valic Financial Advisors in Lakewood, Colorado, and then he briefly joined Hanson McClain Securities between January and March 2014. In July 2014 Gregory Scott Hanshew was reportedly registered with CIM Securities LLC in Centennial, Colorado, where he stayed until August 2014.
On August 8, 2015, Greg Hanshew reportedly began his registration with Infinity Financial Services, in Littleton Colorado. In May 2016, Hanshew was permitted to resign from Infinity following allegations that the former broker “had photo copies of client records and no originals at the branch.” In January 2017, Hanshew rejoined Infinity Financial Services where he continued his registration until June 2020. On June 11, 2020, Infinity allegedly filed a Uniform Termination Notice for Securities Industry Registration disclosing that Greg Scott Hanshew had been terminated voluntarily, according to FINRA’s complaint that led to Hanshew being barred from securities industry.
Potential Compensation for Gregory Hanshew Investors
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or broker misconduct and is currently investigating Gregory Scott Hanshew’s alleged failure to provide a complete response to FINRA’s requests for information and documents during the regulator’s investigation into alleged various sales practice violations involving senior investors, and failures to disclose OBAs, judgments and liens.
The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and sometimes adjunct professor of securities regulation, has represented thousands of victimized investors in cases ranging from arbitrations to class actions.
Investors who are concerned about their investment with broker Gregory Hanshew are encouraged to contact Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law or through the contact form on this webpage.
