Ex-Raymond James Broker Guilford Nergard Is Accused of Making Unauthorized Trades
Ex-Mesa, Arizona Financial Advisor Has Been Named in Multiple Customer Disputes
Ex-Raymond James broker, Guilford Ward Nergard, is facing at least one still pending customer dispute in which the claimant is alleging unauthorized trading.
This is not the only time that Nergard has been accused of broker misconduct. He was suspended by the Arizona Corporation Commission Securities Department from April through June 2021 over allegations that he made discretionary trades with customers without the required authorizations.