Gregory Getts Facing a Civil Action

Gregory Getts (CRD #: 1300527), a broker registered with Arbor Court Capital, is the subject of a civil action. This action appears on his BrokerCheck record, accessed on February 16, 2024. Keep reading if you have questions concerning his alleged conduct. 

Civil Action 

On October 20, 2023, Mosaic Financial LTC and Accuvest Global Advisors initiated a civil action. According to the allegations, Gregory Getts negligently misrepresented a private placement. While allegedly acting as an employee for a mutual fund transfer agent, he allegedly serviced a wholly separate and independent investment advisor’s private placement, in which the investment advisor allegedly perpetrated a scheme that defrauded investors. 

FINRA Rule 2020 – Misrepresentation

FINRA Rule 2020 prohibits the misrepresentation of investments and omission of material facts. Material facts include information about an investment’s potential returns, as well as charges, expenses, and fees. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule. 

Background Information 

Gregory Getts has passed the following exams: 

• Series 63 Uniform Securities Agent State Law Examination 
• Series 99TO Operations Professional Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 4 Registered Options Principal Examination 
• Series 24 General Securities Principal Examination 
• Series 27 Financial and Operations Principal Examination 

He is a registered broker in 22 states. 

Gregory Getts has registered with the following firms since 2004: 

• Ancora Securities (CRD #: 16076) 
• Inverness Securities (CRD #: 129914) 
• Arbor Court Capital (CRD #: 143839) 

Kurta Law Can Help 

If you have worked with Gregory Getts and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.