Anthony Gary Epps—Participation in Private Securities Transactions

Anthony Gary Epps Reportedly Participated in Private Securities Transactions by Allegedly Investing $190,000 in a Privately Held Start-Up, NHJ

Anthony Gary Epps reportedly participated in private securities transactions by allegedly investing $190,000 in a privately held start-up known as NHJ, a privately held entity, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC).

Epps, according to the AWC, also allegedly referred at least four potential investors from NYLIFE and facilitated their investments, up to $800,000 NHJ without NYLIFE’s knowledge or approval.

Anthony Gary Epps Also Failed to Disclose Tax Liens, Suspended One Year by FINRA for Undisclosed Private Securities Transactions

Anthony Gary Epps allegedly facilitated the customers’ investments in NHJ by providing information and responding to questions regarding NHJ to the customers via e-mail and telephone conversations, according to the AWC.

Epps also participated in meetings between NHJ’s two managers and the customers, the AWC reports. In addition, Epps also participated in one customer’s investment negotiations and helped the customer decide how to fund their investment in NHJ, and hence, violated NASD and FINRA Rules, according to the AWC.

As a result of the aforementioned behavior, the AWC notes, Epps has been suspended for one year by FINRA. Furthermore, Anthony Gary Epps also allegedly failed to disclose multiple tax liens to his clients which totaled around $35,000, according to the AWC.

The Peiffer Rosca Wolf Securities Lawyers Often Represent Investors

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of broker misconduct. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of undisclosed private securities transactions may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 888-998-0520.

Broker: Anthony Gary Epps

Status: INVESTIGATED by Peiffer Rosca.

For brokercheck report and additional info click here!

Alan Rosca (1169 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.