SEC
Whistleblower
Attorneys

March 01, 2019

John Gregory Schmidt

Financial Fraud

SANCTION AMOUNT: $1134964

Defendants: John Gregory Schmidt

Defendant, formerly a registered representative of a nationwide broker-dealer and investment adviser, agreed to settle charges that he sold securities belonging to at least seven, mostly elderly, retail brokerage customers and secretly transferred over $1 million in proceeds to at least ten other customers to cover shortfalls in those customers' accounts.

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