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Wealth Professional | 04 Mar 2015, 09:47 AM Agree 0
The next time someone offers to sell you or your clients discounted pre-IPO shares, this story highlights why it's never a good idea.
  • David McDonald | 04 Mar 2015, 10:58 AM Agree 0
    I agree with Mr. Markopolos's comment. Sad indeed.
  • Will Ashworth | 09 Mar 2015, 02:58 PM Agree 0
    Hi Robert.

    According to the SEC complaint, the answer appears to be "no."

    "In December 2008, Gray was barred for three years from association with NYSE member firms based on findings that he had (a) engaged in unauthorized trades in his customers' accounts and (b) threatened and/or harassed complaining customers and/or their family members. This bar was upheld by the Commission on July 22, 2009"
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