ANTHONY A. GREY

10/03/2014: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complaint, VS. Anthony A. Grey Winter Park, FL, Respondent. Complaint No. 2009016034101 Dated: October 3, 2014 Registered representative willfully engaged in undisclosed interpositioning, charged customers unfair prices and excessive mark-ups, and engaged in fraud. Held, findings affirmed and sanctions modified. Appearances For the Complainant: Michael A. Gross,

06/20/2013: FTNANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANTHONY A. GREY (CRD 709788), Respondent. Disciplinary Proceeding No. 2009016034101 Hearing - Officer--LOM HEARING PANEL DECISION June 20, 2013 Respondent secretly interposed his own personal accounts between his customers and the prevailing market for municipal bonds, which allowed him to charge his customers unfair, unreasonable, and excessive markups. Respondent did not disclose

09/03/2015: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 75839 / September 3, 2015 Admin. Proc. File No. 3-16230 RECEIV- SEP 3 2015 In the Matter of the Application of OFFICE OF GENERAL COUNSEL ANTHONY A. GREY Regulatory/Appellate For Review of Disciplinary Action Taken By FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Violations of Securities Laws and Conduct Rules Unfair and Fraudulent Markups

09/03/2015: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 75839 / September 3, 2015 Admin. Proc. File No. 3-16230 In the Matter of the Application of ANTHONY A. GREY For Review of Disciplinary Action Taken By FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Violations of Securities Laws and Conduct Rules Unfair and Fraudulent Markups

12/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, vs. GARDNYR MICHAEL CAPITAL, INC. (CRD No. 30520), ANTHONY A. GREY (CRD No. 709788), Respondents. Disciplinary Proceeding No. 2009016034101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In ten transactions with retail customers between October 2008 and July 2009, Gardnyr Michael Capital, Inc. ("GMCI"), through Anthony A. Grey

Reference 2009016034101data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org