Tag Archives: Kirk Gill

Kirk Gill Investigation-Former Morgan Stanley Broker-Settles Numerous Customer Suits-Tucson, AZ

August 2018-Tucson, AZ

We are currently investigating Kirk Gill on behalf of an Arizona resident who alleges that Gill over concentrated retirement accounts with energy stocks which resulted in significant losses.

The FINRA records of  Kirk J. Gill ,  a  stockbroker who is currently  employed by  Taylor Capital Management  disclose 3 pending customer disputes , 12 prior final customer disputes and a termination from employment.

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 18-0762- a customer of Gill’s former employer Morgan Stanley Smith Barney seeks damages of over $900,000 and alleges that from 2009-2016 Gill made numerous unsuitable recommendations in limited partnerships and other direct investments.
  • FINRA Case 16-2230- another customer of  Morgan Stanley Smith Barney alleges damages of $500,000 for unsuitable recommendations from 2011-2015.

The settled cases include:

  • FINRA Case 17-2003-a Morgan Stanley customer was paid $275,000 to resolve claims for unsuitable investments made by Gill.
  • FINRA Case 17-0335 – a customer of Gill’s  former employer Morgan Stanley Smith Barney alleged damages of $500,000 for unsuitable investments from 2010-2016. The case was settled for $150,000.

Kirk Gill  was  employed by Morgan Stanley from 6/2009-4/2016. Gill then worked for First Financial Equity Corp. from 3/2016-6/2018 when he was permitted to resign due to firm concerns regarding Gill’s sales practices and Gill’s failure to agree to the terms of the firm’s enhanced supervision plan.

Kirk Gill is registered as an investment adviser representative wtih Triumph Wealth Advisors in Tucson, AZ according to SEC records. .

If you have losses in an account in an account handled by Kirk Gill  , you may be able to recover damages through FINRA arbitration. Call for a no charge consultation.

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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Rex Securities Law

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