Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 1, 2017 indicate that Kansas-based Oppenheimer & Company broker/adviser Gregory Schaff has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Schaff (CRD# 1546820).
Gregory Schaff has spent 30 years in the securities industry and has been registered with Oppenheimer & Company in Leawood, Kansas since 2006. Previous registrations include Wachovia Securities in Overland Park, Kansas; Prudential Securities in New York, New York; George K. Baum & Company in Kansas City, Missouri; Piper Jaffray in Minneapolis, Minnesota; Shearson Lehman Hutton; EF Hutton & Company; and Waddell & Reed. He is a registered broker and investment adviser with 14 US states and territories: Alaska, Arizona, Arkansas, California, Colorado, Delaware, Florida, Kansas, Minnesota, Missouri, Oregon, Puerto Rico, Tennessee and Texas.
According to his BrokerCheck report, he has received three customer complaints.
In 2014 a customer alleged Gregory Schaff, while employed at Oppenheimer & Company, failed to properly supervise the broker who serviced her account. The complaint settled for $90,000.
In 2004 a customer alleged Gregory Schaff, while employed at Wachovia Securities, recommended unsuitable investments. The complaint settled for $23,000.
In 2001 a customer alleged Gregory Schaff, while employed at George K. Baum & Company, failed in his supervisory duties as branch manager over another broker. The complaint settled for $95,000.
If you or someone you know has complaints regarding Gregory Schaff, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited by law, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.