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…

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Kurt 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…

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Kirk 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,…

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Investors 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…

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Roderick von Lipsey Involved in Customer Dispute Regarding Yield Enhancement Strategy

Roderick von Lipsey (CRD #: 4270444), a broker registered with UBS Financial Services Inc., is facing pending customer disputes regarding unsuitability and misrepresentation, according to his BrokerCheck record, accessed on September 17, 2020. If you have questions about Roderick Lispey’s conduct as a broker, keep reading for more details about his disclosures. On August 11,…

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Guil 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…

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Chad Vandenbusch Facing Client Allegations Regarding Misrepresentations

Chad Vandenbusch (CRD #: 2580669), a broker registered with WinTrust Investments LLC, is facing client allegations regarding misrepresentations, according to his BrokerCheck record, accessed on September 17, 2020. Keep reading for more detail. On August 11, 2020, a client alleged that Mr. Vandenbusch misrepresented certain investments, representing them as safer than conventional equities. The client…

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Gregory O’Brien Subject of Client Allegations Regarding Unsuitable Use of Margin

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…

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Sylvester Knox Suspended By FINRA Following 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…

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Johnny Guan, of Aegis Capital Corp., Involved in Pending Customer Dispute Over Suitability and Overconcentration

Johnny Guan (CRD#: 5711977), a registered representative with Aegis Capital Corp. (CRD#: 15007) in Red Bank, New Jersey, is currently involved in a pending customer dispute in which a client alleges that he recommended unsuitable investments, overconcentrated their portfolio, made unauthorized transactions, and breached his fiduciary duty (putting his interests ahead of the client’s), according…

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