Mark Fallon Kregor of Louisville, Kentucky, a stockbroker formerly registered with Robert W. Baird Co. Incorporated, has been permitted to resign as a stockbroker on July 15, 2021, following a disciplinary action brought by Kentucky Department of Financial Institutions. Kregor was fined $32,000.00 and suspended by the Kentucky regulator from doing securities business in the…

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….

Mark Fallon Kregor of Louisville Kentucky a stockbroker currently registered with J.J.B. Hilliard W.L. Lyons LLC is referenced in a customer initiated investment related arbitration claim which was settled for $87,500.00 in damages founded on accusations that the customer was placed into defective oil and gas investments which resulted in losses. FINRA Arbitration No. 18-03128…

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…