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Mark Kregor: Regulatory Action and Employment Separation Following Investor Disputes

Oct 1, 2021 Regulatory Action

Mark Kregor (CRD #: 2403684), a broker registered with Stifel, Nicolaus & Company, was permitted to resign from his firm following a regulatory action, according to his BrokerCheck record, accessed on September 21, 2021. There are also eight settled investor disputes on his record.

On July 15, 2021, Mark Kregor was permitted to resign from his position at Robert W. Baird & Co. This followed a regulatory action from the Kentucky Department of Financial Institutions. The regulator alleged that Mark Kregor violated a state securities law related to the overconcentration of high-risk investments. Investments that are high-risk are likely to lose money. These allegedly did not fit the investors’ objectives, making them unsuitable according to FINRA Rule 2111

Investor Disputes

Mark Kregor’s eight investor disputes all mention suitability. FINRA defines suitable investments as investments that fit an investor’s risk tolerance, financial goals, age, and investing experience.

The most recent suitability claim is from February 7, 2020. The investor alleged Mark Kregor recommended unsuitable investments and the dispute settled for $80,000.

On October 25, 2018, another suitability dispute alleged that Mark Kregor overconcentrated certain investments. The investor sought $595,000; the dispute settled for $200,000.

The six other investor disputes collectively settled for $677,500.

Mark Kregor Background Information

Mark Kregor has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

Mark Kregor was a registered broker and investment adviser in Kentucky prior to the Kentucky regulatory action.

Mark Kregor has worked with the following firms:

  • Stifel, Nicolaus & Company (CRD #: 793)
  • Robert W. Baird & Co. (CRD #: 8158)
  • J.B. Hilliard W.L. Lyons (CRD #: 453)

Kurta Law Can Help

If you worked with Mark Kregor and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email