Guilford Ward Nergard, Formerly of Raymond James & Associates, Suspended Following Allegations of Unauthorized Trading

Nergard was suspended by the Arizona Corporation Commission Securities Division.

guilford-ward-nergard-allegations-of-unauthorized-tradingGuilford Ward Nergard (CRD#: 2360614) was registered as a broker with Raymond James & Associates from 2013 until 2020. Previously, Nergard was registered as a broker with Morgan Stanley from 2009 until 2013.

Nergard has seven disclosures on his BrokerCheck report. 

May 2021 Customer Dispute


March 2021 Regulatory Judgment


November 2011 Employment Separation After Allegations


October 2020 Customer Dispute


June 2008 Customer Dispute


August 2004 Customer Dispute


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The Sonn Law Group is currently investigating allegations surrounding Guilford Ward Nergard. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.