Kentucky: Mark Kregor Sold High Risk Investments

Mark Kregor (CRD 2403684) was the subject of an agreed order with the State of Kentucy. Mr. Kregor is currently registered with Stifel, Nicholas in Louisville, Kentucky. He was previously registered with Robert Baird & Co. until he was “permitted to resign” on July 15, 2012.

Important Information about Mark Kregor’s Fine

From 2013 to 2015, Mark Kregor allegedly offered high risk investments, including penny stocks and business development corporations.
Investors were sold the investments at unsuitable rates between 23% and 61% of their overall account value where the client only showed a moderate risk tolerance.
Kregor was fined $32,000 and his registration with the state of Kentucy was suspended for one month.