Nicholas Brent Maddox of Laguna Niguel California a stockbroker formerly registered with TCFG Wealth Management LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Maddox failed to cooperate with FINRA’s request for information about his business activities. FINRA Case No. 2017056677901 (Nov. 26, 2018).

According to FINRA Public Disclosure, Maddox had initially been suspended by FINRA in all capacities according to a Suspension from Association letter issued to him on September 17, 2018. Apparently, FINRA reminded Maddox at the time of his suspension that his non-compliance going forward could lead him to be barred by FINRA. Specifically, Maddox had until November 25, 2018 to seek that his suspension be lifted; however, Maddox did not cooperate in time. Consequently, FINRA automatically barred Maddox by November 26, 2018.

FINRA Public Disclosure reveals that Maddox is referenced in a customer initiated investment related written complaint on November 10, 2017 where the customer requested at least $5,000.00 in compensatory damages founded on allegations that inappropriate stock recommendations had been made to the customer on April 29, 2016 while Maddox was associated with J.P. Morgan Securities LLC.

On August 2, 2018, Maddox was discharged by TCFG Wealth Management supported by accusations that Maddox neglected to cooperate with two of FINRA’s investigatory requests under Rule 8210; and Maddox failed to cooperate with the firm’s internal investigation into his activities.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

Questions or comments regarding the source or accuracy of any information, including any subsequent developments, should be directed to:  [email protected]

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer.

Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

Stockbroker Fraud. Securities Arbitration and Investment Fraud Lawyers.  
National Practice. Contingent Fee. Confidential Free Consultation.

 (877) SEC-ATTY

Tags: ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)

Website