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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 (June 3, 2019).

Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Kregor has been identified in seven additional customer initiated investment related disputes that concern allegations of his misconduct during the time that he was associated with J.J.B. Hilliard W.L. Lyons LLC. In fact, on June 24, 2015, a customer initiated investment related complaint involving Kregor’s conduct was resolved for $134,989.00 in damages supported by accusations that the customer’s account was overconcentrated in Monitise (MONIF), an investment which failed to conform to the customer’s objectives for investing and which resulted in unwarranted losses.

Another customer initiated investment related arbitration claim in regard to Kregor’s activities was settled for $170,000.00 in damages based upon allegations that between 2013 and 2016, Kregor executed over-the-counter equities transactions that were unsuitable for the customer. FINRA Arbitration No. 17-01018 (Apr. 23, 2018). Kregor is also the subject of a customer initiated investment related arbitration claim which was resolved for $100,000.00 in damages founded on accusations that bad stock and over-the-counter equities trades had been effected in the customer’s investment account. FINRA Arbitration No. 16-03231 (May 30, 2018).

Also, Kregor is referenced in a customer initiated investment related arbitration claim which was settled for $125,000.00 in damages supported by allegations that the customer’s investment account had been handled with poor care; suitability rules had been violated; and J.J.B. Hilliard W.L. Lyons failed to supervise Kregor’s oil and gas, common and preferred stock, and over-the-counter equities transactions causing the customer to incur losses. FINRA Arbitration No. 18-02602 (Feb. 20, 2019).

Subsequently, a customer initiated investment related civil action brought in the Jefferson County Kentucky Circuit Court which involved Kregor’s conduct was resolved for $145,000.00 in damages based upon accusations that Kregor placed the customer in unsuitable stock and derivative investments when Kregor was associated with J.J.B Hilliard W.L. Lyons. Civil Action No. 17-CI-004521 (Mar. 22, 2019). Another customer initiated investment related civil action involving Kregor’s activities was settled for $200,000.00 in damages on May 7, 2019 founded on allegations that the customer had been placed into inappropriate oil and gas and common and preferred stocks, and the customer’s account was over-concentrated in speculative investments.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

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Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

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