April 2017-Tucson, AZ
The FINRA records of Kirk J. Gill , a stockbroker who is currently employed by First Financial Equity Corp. disclose 5 pending customer disputes and 7 prior final customer disputes.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
The currently pending disputes include:
- FINRA Case 17-0335 – a customer of Gill’s former employer Morgan Stanley Smith Barney alleges damages of $500,000 for unsuitable investments from 2010-2016.
- FINRA Case 16-2230- another customer of Morgan Stanley Smith Barney alleges damages of $500,000 for unsuitable investments from 2011-2015.
- FINRA Case 16-1758-another customer of Morgan Stanley Smith Barney seeks an unspecified amount for damages resulting from an overconcentration of high risk, unsuitable, equities from 2010-March 2016.
Kirk Gill has been employed by First Financial Equity Corp since 3/2016. He was with Morgan Stanley from 6/2009-4/2016.
If you have losses in an account in an account handled by Kirk Gill , you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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