| Read Time: 2 minutes |

DID MARK FALLON KREGOR CAUSE YOU INVESTMENT LOSSES?

Mark Kregor Of Robert W. Baird Co. And Formerly With J.J.B. Hilliard, W.L. Lyons Has 9 Customer Complaints For Alleged Broker Misconduct

Who is Mark Kregor of Robert W. Baird Co.?

Mark Kregor (CRD #2403684) who is currently registered with Robert W. Baird Co. and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations. Prior to Robert W. Baird Co., Mark Kregor was associated with J.J.B. Hilliard, W.L. Lyons and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Mark Kregor Customer Complaints

Mark Kregor has been the subject of 9 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Seven of Mark Kregor’s 9 customer complaints were settled in favor of investors. One of Mark Kregor’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Robert W. Baird Co. for investment losses caused by Mark Kregor’s alleged misconduct.

Allegations Against Mark Kregor

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • A former client alleged Mark Kregor made unsuitable investments.
  • A representative for the client alleged unsuitable investments were made in the account by Mark Kregor.
  • Claimant alleged Mark Kregor’s violation of suitability rules with regard to certain securities.
  • Client alleged Mark Kregor’s investments in seven securities have resulted in unrealized losses.
  • Client alleged large concentration in Monitise stock (MONIF) caused losses in their accounts allegedly made by Mark Kregor. Client also alleged the investment was not in line with their investment objectives.
  • Client alleged Mark Kregor’s over-concentration and lack of suitability within his accounts.
  • The client alleged she was sold unsuitable investments by Mark Kregor.
  • The statement of claim alleged Mark Kregor recommended unsuitable investments.
  • Claimants alleged Mark Kregor’s violation of suitability rules, negligence, failure to supervise, and negligent supervision.

Mark Kregor Red Flags & Your Rights As An Investor

Of course, Mark Kregor did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mark Kregor at Robert W. Baird Co. and J.J.B. Hilliard, W.L. Lyons on alert to review carefully the activity and performance of their accounts and question whether Mark Kregor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Robert W. Baird Co. and J.J.B. Hilliard, W.L. Lyons also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Robert W. Baird Co. Due To Mark Kregor

If you have questions about Robert W. Baird Co., J.J.B. Hilliard, W.L. Lyons, and/or Mark Kregor and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...