DID GUILFORD WARD NERGARD CAUSE YOU INVESTMENT LOSSES?
Guilford Nergard Formerly With San Blas Securities LLC, Newbridge Securities Corporation and Raymond James & Associates, Inc., Has 6 Customer Complaints For Alleged Broker Misconduct
Who is Guilford Nergard formerly with San Blas Securities LLC?
Guilford Nergard (CRD #2360614) who was formerly registered with San Blas Securities LLC and located in Atlanta, Georgia, is a subject of one of our many securities industry sales practice abuse investigations. Prior to San Blas Securities LLC, Guilford Nergard was associated with Newbridge Securities Corporation and Raymond James & Associates, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Guilford Nergard has added to his own regulatory problems. In 2021, the Arizona Corporation commission securities division suspended him for allegedly making discretionary traits for his clients without proper authorization. As a result, he was suspended for 3 months and find $2500.
Guilford Nergard Customer Complaints
Guilford Nergard has been the subject of 6 customer complaints that we know about to recover investment losses. Three of the customer complaints resettled in favor of the investors. One customer complaint was denied by the brokerage firm and the customer took no further action. There are currently 2 customer complaints filed against Raymond James and Associates for Guilford Nergard’s alleged misconduct.
Allegations Against Guilford Nergard
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- The financial advisor implemented inappropriate investment strategy, purchased unsuitable securities, traded excessively, and improperly exercise discretion for a period of time.
- Unauthorized trading and excessive trading.
- Mismanagement of accounts.
- Unsuitability, unauthorized trading, breach of fiduciary duty, and misrepresentation.
Guilford Nergard Red Flags & Your Rights As An Investor
Of course, Guilford Nergard did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Guilford Nergard at San Blas Securities LLC, Newbridge Securities Corporation and Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Guilford Nergard has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at San Blas Securities LLC, Newbridge Securities Corporation and Raymond James & Associates, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At San Blas Securities LLC Due To Guilford Nergard
If you have questions about San Blas Securities LLC, Newbridge Securities Corporation, Raymond James & Associates, Inc. and/or Guilford Nergard and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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