JOHN CARL BERGERON is currently employed as a Broker and/or Investment Adviser at NATIONAL SECURITIES CORPORATION located at 507 FRANKLIN STREET, NATCHEZ, MS, 39120.
JOHN CARL BERGERON has worked at NATIONAL SECURITIES CORPORATION since June 24, 2015
Date: August 14, 2006 Category: Customer Dispute Allegations: CLIENT ALLEGES HE DID NOT FULLY EXPLAIN THE ANNUITY HE SOLD THE CLIENT AND MADE FALSE STATEMENTS TO CLIENT. CLIENT CLAIMS A LOSS AT LEAST $75,000. Damage Amount Requested: $75,000.00 Broker Comment: I, JOHN BERGERON DENY THIS ALLEGATION FOR THE FOLLOWING REASONS:1.) CLIENT AND SPOUSE HAD EACH OWNED IRA VARIABLE ANNUITY CONTRACTS FOR 3 YEARS PRIOR (PURCHASED MAY, 1996). 2.) CLIENT INFORMED US THAT HE PREVIOUSLY HELD INSURANCE LICENSES AND UNDERSTOOD ANNUITY CONTRACTS.3.) CLIENT STILL HOLDS CONTRACT IN QUESTION, WHICH HE PURCHASED OVER SEVEN YEARS AGO. IT IS NOW HELD BY ANOTHER BROKER/DEALER. CLIENT LOSS CLAIMS ARE HIGHLY INFLATED.4.) CLIENT CEASED DOING BUSINESS WITH OUR FIRM IN MARCH, 2002.
Date: March 27, 2003 Category: Regulatory
Date: August 06, 2002 Category: Customer Dispute Allegations: UNSUITABLE INVESTMENTS. SOLD BONDS AND PURCHASED ANNUITIES. DAMAGES SOUGHT $640,000.00. 12/6/02 SUITABILITY, FAILURE TO DISCLOSE, BREACH OF FIDUCIARY DUTY, NEGLIGENCE. DAMAGES $642,000. Damage Amount Requested: $640,000.00 Damages Granted: $152,362.02 Broker Comment: DENIED CUST COMPLAINT 10/25/02. AWARD TO CUSTOMER, EACH BROKER PAID 1/3 OF AWARD AS DID THE FIRM.
Date: August 17, 2000 Category: Customer Dispute Allegations: [CUSTOMER] ALLEGES NEGLIGENCE AND MISREPRESENTATION CONCERNING FIVE CORPORATE BONDS HE PURCHASED IN JUNE AND JULY 1999 AS PART OF HIS PORTFOLIO. SUBSEQUENT TO HIS PURCHASE ONE COMPANY WENT THROUGH BANKRUPTCY REORGANIZATION, AND THE OTHER BOND POSITIONS ALSO DECLINED IN VALUE. THE ALLEGATIONS ARE VEHEMENTLY DENIED. Damage Amount Requested: $70,000.00 Settlement Amount: $63,000.00
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