Gregory Alan Newton

Gregory Alan Newton (CRD #2714180, Registered Representative, San Francisco, California) submitted an Offer of Settlement in which he was fined $10,000, suspended from association with any NASD member in any capacity for one year, and ordered to pay $12,000 in partial restitution to a public NASD DISCIPLINARY ACTIONS FEBRUARY 2004 D15 customer. The fine must be paid before Newton reassociates with any NASD member following the suspension or before requesting relief from any statutory disqualification. Without admitting or denying the allegations, Newton consented to the described sanctions and to the entry of findings that he made a recommendation to a public customer and did not have a reasonable basis for believing that the recommendation made was suitable for the customer based on the customer's financial situation, needs, and other security holdings.

Newton's suspension began February 2, 2004, and will conclude at the close of business February 1, 2005. (NASD Case #C3A030037)

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Contact Information

The Law Office of David Liebrader, Inc.


601 S. Rancho Drive, Ste.#D-29
Las Vegas, NV 89106
Phone: 702-380-3131
Fax: 702-380-3102
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