Mark Fallon Kregor, of Louisville, Kentucky, a stockbroker formerly registered with J.J.B. Hilliard, W.L. Lyons, LLC, is the subject of a customer initiated investment related arbitration claim on May 1, 2017, wherein the customer requested $374,141.00 in damages based upon allegations that Kregor effected over-the-counter equity transactions in the customer’s account that were not suitable for the customer.

Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Kregor has been identified in three more customer initiated investment related disputes pertaining to allegations of Kregor’s sales practice violations while he was associated with J.J.B. Hilliard, W.L. Lyons, LLC. Specifically, on August 20, 2009, a customer filed an investment related written complaint involving Kregor’s conduct, in which the csutomer’s claim was based upon allegations that Kregor’s faulty activities caused the customer to suffer investment losses.

Subsequently, on June 24, 2015, a customer initiated investment related written complaint regarding Kregor’s activities was resolved for $134,989.00 in damages founded upon claims that Kregor effected unsuitable over-the-counter equities transactions in the customer’s investment account. Further, on November 3, 2016, a customer filed an investment related arbitration claim involving Kregor’s conduct, where the customer requested more than $5,000.00 in damages based upon allegations that Kregor placed stock trades in the customer’s investment portfolio despite the products having been unsuitable for the customer.

Guiliano Law Group

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