Gregory Gerald Friel, of Boston, Massachusetts, a stockbroker formerly registered with Harvest Capital LLC, is the subject of a customer initiated investment related written complaint on May 4, 2017, in which the customer requested $19,000.00 in damages based upon allegations that Friel misled the customer in reference to the customer’s real estate securities transactions.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Friel has been identified in two additional customer initiated investment related disputes containing allegations of Friel’s misconduct while employed with New England Securities and Brewer Financial Services, LLC. Particularly, on August 14, 2013, a customer was awarded $70,000.00 in damages according to an investment related arbitration claim involving Friel’s misconduct, based upon allegations that Friel made omissions and misrepresentations concerning promissory notes investments.
Subsequently, on February 6, 2014, a customer initiated investment related civil action involving Friel’s conduct was settled for $520,000.00 in damages based upon allegations that Friel solicited customers’ mutual fund and equity transactions without addressing the customers’ tax liabilities resulting from the transactions.
Since October 3, 2003, Friel has been associated with eight different broker dealers, one of which has been expelled by securities regulators for violation of federal securities laws or is otherwise defunct.
Guiliano Law Group
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