Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guilford Nergard (Nergard), previously associated with San Blas Securities LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Nergard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $37,011.47 on May 12, 2021.
Client alleged poor performance due to the management of accounts. Alleged activity dates 06/04/2013-11/06/2020