Mark Fallon Kregor of Louisville Kentucky a stockbroker currently registered with Roger W. Baird Co. is the subject of a customer initiated investment related arbitration claim in which the customer sought unspecified damages based upon allegations that over-the-counter equities recommendations were not suitable and had led the customer to experience losses through Robert W. Baird. Financial Industry Regulatory Authority (FINRA) Arbitration No. 20-00389 (Feb. 7, 2020).
FINRA Public Disclosure reveals that Kregor has been identified in eight additional customer initiated investment related disputes regarding accusations of his misconduct during the time that he was employed by Hilliard Lyons LLC. Kregor is referenced in a customer initiated investment related arbitration claim that was resolved for $170,000.00 in damages founded on allegations that the customer had been placed into unsuitable over-the-counter equities during the period in which Kregor was associated with Hilliard Lyons. FINRA Arbitration No. 17-01018 (Apr. 23, 2018).
Kregor is the subject of another customer initiated investment related arbitration claim which settled for $125,000.00 in damages supported by accusations of negligence with regard to Kregor’s trading of oil and gas securities as well as common and preferred stock during the time that Kregor was associated with Hilliard Lyons. FINRA Arbitration No. 18-02602 (Feb. 20, 2019). The claim alleges that Kregor had been negligently supervised by Hilliard Lyons which resulted in unsuitable securities sales.
On March 22, 2019, another customer initiated investment related civil action involving Kregor’s activities was resolved for $145,000.00 in damages based upon allegations of inappropriate stock and derivative transactions. Civil Action No. 17-CI-004521. Kregor is also referenced in a customer initiated investment related complaint which settled for $200,000.00 in damages on May 7, 2019 founded on accusations of bad energy securities being sold to the customer which resulted in an over-concentration of the Hilliard Lyons customer’s assets in the risky investments.
On June 3, 2019, another customer filed an investment related arbitration claim involving Kregor’s conduct where the customer requested $87,500.00 in damages supported by allegations of oil and gas securities that failed to be suitable and which caused losses for the customer’s account.
Kregor’s employment with Hilliard Lyons has been terminated as of October 18, 2019. He has been employed by Robert W. Baird since October 18, 2019.