Posts by Fitapelli Kurta
Carl Gill: Investor Seeks to Recover Six-Figure Losses
Carl Gill (CRD #: 1076361), an investment adviser registered with Asset Preservation Capital, is involved in a six-figure dispute according to his Investment Adviser Public Disclosure record, accessed on May 13, 2021. This is his second investor dispute of 2021. On March 12, 2021, an investor alleged that Carl Gill engaged in negligence and misrepresented…
Read MoreClyde Jensen Subject of FINRA Action: Regulator Alleges Unethical Practices
Clyde Jensen (CRD #: 5658476), a Tampa, Florida broker registered with TD Private Client Wealth, is the subject of a FINRA regulatory action, according to his BrokerCheck record, accessed on March 24, 2021. The regulatory action involves allegations of unethical practices – keep reading for more detail. On February 26, 2021, Clyde Jensen was named…
Read MoreKurt Baldry: Investors Allege Six-Figure Losses
Kurt Baldry (CRD #: 1568930), a broker registered with Ausdal Financial Partners, is involved in two pending disputes, according to his BrokerCheck record, accessed on February 23, 2021. Both involve allegations of unsuitable investment recommendations. On January 13, 2021, an investor alleged that Kurt Baldry recommended unsuitable investments. The investor is seeking $200,000; the dispute…
Read MoreKirk Pickell: Investor Alleges that Unsuitable Recommendations Led to $10,000,000 Loss
Kirk Pickell (CRD #: 2294187), a broker and investment adviser registered with Janney Montgomery Scott, is involved in a $10,000,000 investor dispute, according to his BrokerCheck record, accessed on January 28, 2021. Investors should keep reading to learn the details of this allegation. On November 27, 2020, an investor alleged that between 2009 and 2020,…
Read MoreInvestors Allege Bryon Martinsen’s Recommendations Resulted in Losses of Over $9 Million
Bryon Martinsen (CRD #: 1621649), a broker registered with Centaurus Financial, has three pending investor disputes regarding suitability, according to his BrokerCheck record, accessed on January 8, 2020. These three claims collectively total $9.7 million dollars in alleged losses. On October 16, 2020, clients alleged that Bryon Martinsen recommended unsuitable, high-risk, and illiquid investments. The…
Read MoreGuil Nergard: Investor Alleges Unauthorized Trades
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 MoreSylvester Knox Suspended By FINRA Following State Regulatory Actions and Client Disputes Alleging Unauthorized Transactions
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 MoreChristopher Wurtzinger Suspended by FINRA and Subject of a Customer Complaint
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…
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