Philadelphia, Pennsylvania financial advisor Gary Harlap (CRD# 3125590) allegedly improperly concentrated a customer’s investments, according to a recent investor complaint....
Read MoreKirk Gill: Complaints Against Tucson Financial Advisor
Settled and pending investor complaints against Tucson, Arizona investment advisor Kirk Gill (CRD#: 2291503) allege conduct including suitability violations, over-concentration, and more. Gill is a former representative of Taylor Capital Management who is currently registered with Triumph Wealth Advisors, according to information drawn from Financial Industry Regulatory Authority and Securities and Exchange Commission records.
A pending 2019 complaint alleges that as a representative of Morgan Stanley, Kirk Gill recommended unsuitable investments in common and preferred stock. The complaint alleges damages of $500,000.
A pending 2019 complaint alleges that as a representative of Morgan Stanley, Kirk Gill made unsuitable recommendations of energy stocks. The complaint alleges unspecified damages.
A 2018 complaint alleged that as a representative of Morgan Stanley, he over-concentrated the claimant’s account in oil stocks from January 2014 until January 2018. The complaint reached a settlement of $38,265.71.
A pending 2018 complaint alleges that as a representative of Morgan Stanley, Kirk Gill recommended unsuitable products. The complaint alleges unspecified damages.
A 2018 complaint alleged that as a representative of Morgan Stanley, he recommended unsuitable investments in corporate bonds, common and preferred stock, and DPP and LP interests. The complaint reached a settlement of $185,000.
A 2017 complaint alleged unsuitable recommendations to invest in common and preferred stock products from 2013 until 2016. The complaint reached a settlement in 2018 of $275,000.
Kirk Gill is currently not registered as a broker; he has been registered as an investment advisor with Triumph Wealth Advisors in Tucson, Arizona since June 2018. His employment history includes Taylor Capital Management in Tucson, Arizona; First Financial Equity Corporation in Tucson, Arizona; Morgan Stanley in Tucson, Arizona; Morgan Stanley & Company in Tucson, Arizona; Citigroup Global Markets in Tucson, Arizona; and Merrill Lynch in New York, New York. He currently holds zero state licenses and has passed four securities industry qualification examinations.
