According to publicly available records, broker Gregory Van Winkle (CRD#
1056407) has been the subject of 27 customer complaints.
According to the Financial Industry Regulatory Authority (FINRA), Gregory
Van Winkle has been the subject of two regulatory sanctions and 27 customer
complaints during his 33 years in the securities industry. Van Winkle
has been registered with the brokerage firm IFS Securities for the last
three years. Before that, he was registered with Securities America, Inc.
until September 2013, when the firm fired him for violating its policies
relating to client signatures. FINRA brought proceedings against Van Winkle
in 2015 for allegedly forging a customer’s signature on seven disbursement
authorizations without the consent or knowledge of the customer. Van Winkle
settled with FINRA and accepted a 20-day suspension and $5,000 fine.
All 27 of the customer complaints made against Van Winkle related to the
sale of variable annuities to his customers. Variable annuities are complicated
investment products that are often expensive and not worth the costs.
You can read more about the risks of variable annuities on our blog.
If you purchased a variable annuity at the recommendation of Van Winkle,
call us today and learn more about your options to file a claim. We may be able to help
you recover your losses.