Gregory Alan Corrie (also known as Greg Corrie), of Boise, Idaho, a stockbroker registered with Cambridge Investment Research Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Corrie refused to provide documents and information requested by FINRA during an investigation into his activities while he was associated with Cambridge Investment Research Inc. Letter of Acceptance, Waiver, and Consent No. 2023078217101 (August 20, 2024).
FINRA Rule 8210 allows FINRA to request information, documents, or testimony from any stockbrokers who are registered with the regulator. This rule gives FINRA the authority to investigate possible violations of its rules or securities laws. When a stockbroker is asked to provide this information, they must comply or else face sanctions.
FINRA investigated the circumstances of Corrie’s termination from Cambridge Investment Research. The securities broker dealer filed a Form U5, which mentioned concerns about his use of certain investment products (UITs). FINRA sent a formal request to Corrie in May 2024, asking for documents and information related to his activities. On July 9, 2024, Corrie, through his attorney, informed FINRA that he would not provide the requested documents. By refusing to cooperate, Corrie violated Rules 8210 and 2010.
Corrie was associated with Cambridge Investment Research Inc. in Boise, Idaho, from January 2, 2020, to March 17, 2023. Corrie was associated with Cetera Advisors LLC in Boise, Idaho, from November 17, 2017, to November 11, 2019.
