Carl Gill Investigation
June 2026- Troy, MI
According to publicly recorded records, Carl Damien Gill, a registered investment advisor with Asset Preservation Capital, discloses two prior regulatory events, 12 final customer disputes and 3 terminations 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.
More than $800,000 has been paid out to resolve disputes by customers of Carl Gill. Allegations by these former customers include:
- Unsuitabiilty
- Breach of Fiduciary Duty
- Negligent Misrepresentations
- Violation of FINRA rules
- Common Law Fraud
- Violations of Michigan Uniform Securities Act
- Violations of Michigan Consumer Protection Act
- Unauthorized Trading
- Violation of Federal Securities Laws
In December 2015 Gill was permitted to resign from employment with Spectrun Financial Resources and United Planners’Financial Services of America after allegations of a discretionary trade in a non-discretionary account. In 2/1984 Gill was permitted to resign from Dean Witter Reynolds for violations of firm policy.
Gill’s prior experience with FINRA registered firms includes:
- United Planners 11/2011-12/2015
- Professional Asset Management 1/2000-8/2011
Gill operated Asset Preservation Capital , G.D. Tax and Associates, Healthview Asset Management, and Elevated Performance Investment Group, all in Troy, MI.
If you have losses in an account handled by Carl Gill, call to learn how you may be able to recover damages through FINRA arbitration.
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