Gregory Walter McCloskey

05/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150440379 01 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Gregory Walter McCloskey, Respondent General Securities Representative CRD No. 2820510 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Gregory Walter McCloskey ("McCloskey"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015044037901data-portal.finra.orgfinra.org

04/07/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gregory Walter McCloskey, CRD No. 2820510, Respondent. Disciplinary Proceeding No. 2018059242801 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 7, 2021 INTRODUCTION Disciplinary Proceeding No. 2018059242801 was filed on December 1, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Gregory Walter McCloskey)

12/01/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gregory Walter McCloskey, CRD No. 2820510, Respondent. Disciplinary Proceeding No. 2018059242801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between 2008 and 2018, Respondent Gregory Walter McCloskey, while associated with FINRA member firms, participated in two undisclosed private securities

Reference 2018059242801data-portal.finra.orgdata-portal.finra.orgfinra.org