Gregory Charles Voetsch of New York New York a stockbroker formerly registered with Cowen Execution Services LLC (formerly known as Convergex Execution Solutions LLC) has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Voetsch neglected to comply with a FINRA investigation concerning a customer who filed an investment related arbitration claim. Letter of Acceptance Waiver and Consent No. 2018060416901 (Nov. 6, 2019).
According to the AWC, an investigation had been commenced by FINRA personnel following receipt of information from Cowen Execution Services. The AWC stated that FINRA was made aware on January 11, 2019 that Voetsch was the subject of a customer initiated investment related dispute containing allegations of his misconduct. FINRA sought information from Voetsch in regard to the arbitration filing.
The AWC indicated that Voetsch was contacted by FINRA on October 22, 2019 with instructions to provide recorded testimony. FINRA was subsequently contacted by Voetsch’s legal counsel a day later and informed that Voetsch received the request from FINRA but declined to testify according to FINRA’s instructions. The AWC indicated that Voetsch failed to make any appearance before FINRA personnel and testify. FINRA found that Voetsch’s refusal to cooperate in its investigation about the customer dispute constituted the violation of FINRA Rules 2010 and 8210.
Voetsch was employed by Cowen Execution Services between July 24, 2014 and July 6, 2017.
