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.