Haselkorn & Thibaut has launched an investigation into Connor Green (CRD# 7448002), a registered broker at Joseph Gunnar & Company in Uniondale, New York. If you are an investor with concerns about your investments or fees charged in your account, this research report will provide vital information on the advisor, reported red flags, and how you can protect your rights with help from trusted securities fraud lawyers.
Who Is Connor Green of Joseph Gunnar & Company?
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Connor Green is a financial advisor based in Uniondale, New York, currently registered as a broker with Joseph Gunnar & Company. According to regulatory records, Mr. Green has accumulated three years of experience in the securities industry since passing the required FINRA exams:
- Securities Industry Essentials Examination (SIE)
- Series 63 (Uniform Securities Agent State Law Examination)
- Series 7TO (General Securities Representative Examination)
He is currently licensed to operate in 38 states, reflecting a significant span of authority as a financial professional.
Investor Complaint: What Is Known?
As of the most recent review, one pending investor complaint has been reported against Connor Green. This complaint was filed in October 2025 and centers on concerns relating to frequent trading and associated fees in a customer’s account.
| Date Filed | Nature of Complaint | Alleged Damages | Status |
|---|---|---|---|
| October 2025 | Customer requested explanation for frequent trading and fees; later requested a refund of commissions exceeding 1%. | $10,000 (Pending) | Pending |
The complaint alleges that commissions charged to the client’s account exceeded 1%, thereby raising questions about the suitability and frequency of trades. Frequent trading that is not aligned with a client’s needs can lead to excessive costs and is a potential red flag often identified as “excessive trading” or “churning” in the industry.
What Is Excessive Trading – And Why Should Investors Be Concerned?
Excessive trading (sometimes called “churning” when conducted with intent to defraud or with reckless disregard for the customer’s interests) occurs when a broker initiates a high volume of trades in a customer account with the main effect of generating commissions. According to FINRA, this is a serious regulatory concern. Investors end up paying more in fees and expenses, often eroding the value of their accounts over time.
Key indicators of potential excessive trading include:
- High frequency of trades within your account
- Total annual commissions and fees exceeding expected thresholds
- Trade confirmations for transactions you did not authorize
- Account statements reflecting unexplained transactions
FINRA advises all investors to review account documents and compare them to your actual investment goals and instructions. If you see discrepancies or abnormal patterns—such as abnormally high trading costs—bring them up to your broker and consider seeking an independent review.
Due Diligence and Regulatory Findings on Connor Green
To offer a clear, up-to-date summary for investors, Haselkorn & Thibaut has performed a thorough due-diligence review including:
- FINRA BrokerCheck Search: Review Connor Green’s BrokerCheck profile here. As of the latest available records, no other investor complaints, arbitrations, or adverse regulatory actions are listed beyond the currently pending client complaint from October 2025.
- SEC EDGAR & Enforcement Search: No SEC enforcement actions, cease-and-desist proceedings, or civil injunctive actions exist for Connor Green.
- PACER Federal Court Records: No relevant federal lawsuits or civil cases were found.
- Press & News-Wire Scan: No media reports of regulatory or civil actions have been identified as of this review.
Summary: At present, there is a single pending customer complaint involving Connor Green regarding trading frequency and fees. No other complaints, regulatory actions, or lawsuits have been disclosed in publicly available records.
What Should Investors Do Next?
If you have questions about your account or have noticed higher-than-expected fees, frequent trading, or unexplained activity, these may indicate improper practices. Being proactive can help to protect your financial future.
Here are a few next steps recommended for investors:
- Regularly review your account statements and trade confirmations for accuracy.
- Directly ask your advisor about commission structures and any high-volume activity.
- Document all communications related to complaints and requests for information.
- Seek a second opinion or professional review if you are uncertain about transactions or fees in your account.
If you believe you have experienced inappropriate trading activity or were charged excessive fees, you have rights as an investor. Claims for recovery can often be pursued on a contingency basis—meaning you pay nothing unless a recovery is made.
Haselkorn & Thibaut: Decades of Experience Helping Investors
Haselkorn & Thibaut is a national securities fraud law firm with over 50 years of combined experience and a remarkable 98% success rate representing investors. With millions recovered for clients, their attorneys focus on handling cases involving investment fraud and broker misconduct across the United States.
If you or a loved one invested with Connor Green at Joseph Gunnar & Company and have questions about losses or fees, you are entitled to a free, confidential consultation. There is no recovery, no fee – and your inquiry is entirely confidential and risk-free. Call 1-888-885-7162 now or visit investmentfraudlawyers.com for immediate assistance.
Contact Haselkorn & Thibaut Today
Your financial security matters. If you have experienced excessive commissions, high-frequency trading, or have concerns about your investments with Connor Green at Joseph Gunnar & Company, take the first step toward protecting and potentially recovering your losses.
- Speak directly with an attorney for free: 1-888-885-7162
- No obligation, confidential evaluation
- No recovery, no fee
Staying informed and proactive is the best way to protect your investments. Let the experienced professionals at Haselkorn & Thibaut help you understand your options and advocate for your interests.
