Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former North Carolina-based Capital Guardian broker/adviser Donald Bergeron has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bergeron (CRD# 2653896).
Donald Bergeron has spent 20 years in the securities industry and was most recently registered with Capital Guardian LLC in Charlotte, North Carolina (2009-2016). Previous registrations include Merrill Lynch in Charlotte, North Carolina; JJB Hilliard WL Lyons in Louisville, Kentucky; American Frontier Financial Corporation in Denver, Colorado; Painewebber in Weehawken, New Jersey; and RAF Financial Corporation in Denver, Colorado. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from two former employers.
In 2017 FINRA sanctioned Donald Bergeron following allegations he “improperly used discretion to place trades in an account belonging to a customer, without receiving written authorization from the customer to use discretion and without his member firm’s acceptance of the customer’s account as discretionary.” He was issued a 15-day suspension and a fine of $5,000.
In 2016 he was terminated from his position at Capital Guardian LLC following allegations he “exercised discretion in a client account.”
In 2009 he was discharged from his position at Merrill Lynch following allegations he exercised discretion in a customer account.
If you or someone you know has a complaint regarding Donald Bergeron, call the attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. You may have a limited window by law to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.