Carl Gill Embroiled in Multiple Allegations of Negligence
Carl Gill (CRD #: 1076361), an investment adviser registered with Asset Preservation Capital, is involved in disputes regarding negligence and suitability, according to his BrokerCheck record, accessed on August 3, 2021. Gill was also previously registered as a broker, most recently with United Planners’ Financial Services of America.
Carl Gill’s History of Investor Disputes
On July 12, 2021, an investor alleged that Carl Gill recommended unsuitable investments. They further alleged that Gill executed unauthorized trading.
There are two similar disputes from just a few months earlier. On April 20, 2021, an investor engaged in negligence, negligent misrepresentation, and state securities fraud. The investor is seeking $350,000; the dispute is pending.
On March 12, 2021, an investor alleged that Carl Gill engaged in negligence and made misrepresentations. The investor sought $176,885; the dispute is pending.
Gill also has settled investor disputes. On February 22, 2021, an investor alleged that Gill was negligent and made misrepresentations and omissions. The investor sought $50,000; the dispute settled for $35,000.
On April 10, 2007, an investor alleged they had lost money on annuity investments. The investor sought $42,424.22 and the dispute settled for that amount.
Employment Separation After Allegations
On December 4, 2015, Carl Gill was permitted to resign from Spectrun Financial Resources. This followed the firm’s allegation that Gill placed a discretionary trade in a non-discretionary account.
On the same day, United Planners Financial Services also permitted Carl Gill to resign. They also alleged he placed discretionary trades in a non-discretionary account.
On November 28, 2011, Carl Gill became the subject of a Cease-and-Desist Order. The SEC alleged that Gill kept deficient records.
Carl Gill Background Information
Gill passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 3 National Commodity Futures Examination
- Series 15 Foreign Currency Options Examination
- Series 5 Interest Rate Options Examination
- Series 7 General Securities Representative Examination
He is a registered investment adviser in Michigan.
Gill has worked with the following firms:
- United Planners’ Financial Services of America (CRD #: 20804)
- Professional Asset Management (CRD #: 21125)
- Leonard & Company (CRD #: 36527)
- Vestax Securities Corporation (CRD #: 10332)
- First of Michigan Corporation (CRD #: 311)
- Dean Witter Reynolds (CRD #: 7556)
Kurta Law Can Help
If you worked with Carl Gill and you have concerns about your investments, contact Kurta Law today. Call 212-658-1502 or email firstname.lastname@example.org.