Andrew Charles Grezlak, of Doylestown, Pennsylvania, a stockbroker formerly registered with Cambridge Investment Research Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to respond to FINRA requests for information. Case No. 2022076824801 (September 25, 2023).
According to FINRA Rule 9552(h), Grezlak was initially suspended on July 17, 2023. His failure to seek the termination of this suspension within three months resulted in an automatic bar, effective from September 25, 2023.
FINRA Public Disclosure shows that Grezlak was referenced in a customer initiated investment related complaint filed on October 14, 2022. The complaint, which was closed on November 9, 2022, involved allegations that Grezlak “withdrew” funds from a family member’s 529 Plan account without the owner’s consent or approval while associated with Cambridge Investment Research Inc.
