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 trades. The client is seeking $158,433; the dispute is pending.

On June 26, 2008, a client alleged that Guil Nergard sold an auction-rate security that was unsuitable for the client. The dispute settled for $50,116.

On August 17, 2004, a client alleged that Mr. Nergard executed unauthorized trades, breached his fiduciary duty, and recommended unsuitable trades. The client sought $12,949; the dispute settled for $9,999.

Guil Nergard has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 3 National Commodity Futures Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in Alabama, Alaska, Arizona, California, Colorado, Florida, Illinois, Iowa, Louisiana, Nevada, New York, South Carolina, Texas, Virginia, Washington, and Wisconsin. He is a registered investment adviser in Texas.

Guil Nergard has also worked at the following firms:

  • Morgan Stanley (CRD #: 149777)
  • CitiGroup Global Markets (CRD #: 7059)
  • Lehman Brothers (CRD #: 7506)

If Guil Nergard was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email for a free case consultation with a securities attorney.

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