CUSTOMER COMPLAINTS Against MARK KREGOR of Hilliard Lyons
Mark Kregor, with Hilliard Lyons, Subject of Eight Customer Complaints
Have you lost money with financial advisor Mark Kregor of Louisville, Kentucky? We are investigating allegations made against Mark Fallon Kregor. According to FINRA’s BrokerCheck, Kregor has been the subject of eight customer complaints, seven of which were filed within the last four years. The complaints were lodged against Kregor’s brokerage firm, Hilliard Lyons, making allegations about losses in oil and gas stocks, including Breitburn Energy.
Mark Kregor has been a financial advisor and registered representative of Hilliard Lyons from 1993 to the present. He works at a branch office in Louisville, Kentucky.
Brokerage firms like Hilliard Lyons have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Kentucky and the Louisville area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Hilliard Lyons. We are also co-counseling our Kentucky cases with a firm in Louisville.
Click to view: Kregor, Mark BrokerCheck 1.29.19
If you lost money with Mark Kregor or Hilliard Lyons, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
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