Last Updated: March 2025 | Dillard, GA
George E. Gay Investigation Summary
Here’s what you need to know about Dillard, GA, former stockbroker Ben Gay:
- Name: Mr. George Edward Gay
- Current Status: Not currently registered
- Prior Employers:
- Cetera Advisors LLC (Dillard, GA) (10/2016 – 12/2018)
- Investors Capital Corp. (Dillard, GA) (10/2014 – 10/2016)
- Resource Horizons Group LLC (Atlanta, GA) (10/2011 – 09/2014)
- New England Securities (Atlanta, GA) (04/2011 – 10/2011)
- Lincoln Financial Securities Corporation (Dillard, GA) (01/2009 – 04/2011)
- Princor Financial Services Corporation (Dillard, GA) (04/2008 – 01/2009)
- Valmark Securities, Inc. (Dillard, GA) (03/2003 – 04/2008)
- Jefferson Pilot Securities Corporation (Fort Wayne, IN) (06/1996 – 04/2003)
- ProEquities, Inc. (Birmingham, AL) (05/1991 – 06/1996)
- Robert Thomas Securities, Inc. (St. Petersburg, FL) (08/1990 – 03/1991)
- Merrill Lynch, Pierce, Fenner & Smith Incorporated (New York, NY) (06/1985 – 05/1990)
- Function: Stockbroker / Financial Advisor
- DBA: Pinnacle Insurance & Financial Services, BenGay Financial
- Aliases: Ben Gay
- Primary Location: Dillard, GA
- CRD #: 1290423
- Can George Gay be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? No
- Customer Disputes: 1
- Pending Customer Dispute Seeks Damages of: $40,000
If you’ve sustained damages from Mr. Gay, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Ben Gay As Your Stockbroker?
A customer of Lincoln Financial Securities Corporation has filed a pending arbitration claim against Ben Gay, seeking $40,000 in damages. The claim alleges that Mr. Gay recommended an unsuitable oil & gas investment that did not align with the client’s risk tolerance or investment objectives.
- Filing Date: December 20, 2024
- Case Number: FINRA Arbitration No. 24-02312
- Alleged Misconduct:
- Unsuitable investment recommendation
- High-risk oil & gas investment
- Investment Product Involved: Oil & Gas
- Complaint Status: Pending
Allegations of Broker Misconduct Against George Gay
Customers and regulators have alleged the following misconduct by George Gay:
- Unsuitable Investment Recommendations –FINRA Rule 2111 (Suitability Rule).
These violations fall under FINRA Rule 2111 (Suitability Rule) and FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), which require brokers to recommend investments suitable for their clients and act with integrity in all transactions.
Recover Your Investment Losses Now With Rex Securities Law
Investigation of Cetera Financial Brokers-Lawsuits, Arbitrations & Disputes
If you have suffered investment losses in an account handled by Ben Gay, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.