Guil Nergard (CRD #: 2360614), a broker registered with Raymond James & Associates, has racked up a fourth investor dispute, according to his BrokerCheck record, accessed on November 30, 2020. Below is a description of the disclosures on Mr. Nergard’s BrokerCheck. On October 13, 2020, a client alleged that Mr. Nergard executed unauthorized and excessive…

Read More

Sylvester Knox (CRD #: 1625705), an investment advisor registered with The Knox Group Wealth Management, and a broker formerly registered with FSC Securities Corporation, was suspended by the Financial Industry Regulatory Authority (FINRA), according to his Investment Adviser Public Disclosure, accessed August 19, 2020. This was the latest on a substantial list of regulatory actions…

Read More

Gregory O’Brien (CRD #: 3154314), a broker registered with PHX Financial, Incorporated, is facing allegations from clients regarding unsuitable use of margin and poor performance, according to his BrokerCheck record, accessed August 19, 2020. Do you have questions about Gregory O’Brien’s conduct as a broker? Keep reading to learn more. On June 18, 2020, a…

Read More

Christopher Wurtzinger (CRD #: 1921024), a broker registered with American Trust Investment Services and an investment adviser registered with Sorsby Financial Corporation, was recently suspended by the Financial Industry Regulatory Authority (FINRA).  Christopher Wurtzingeris also the subject of a client dispute regarding account churning, unauthorized trading, fraud, and breach of fiduciary duty, according to his…

Read More