John Joseph Tillger Jr., of West Conshohocken, Pennsylvania, a stockbroker formerly registered with CV Brokerage, Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he did not respond to FINRA’s request for information in reference to a customer initiated investment related dispute settlement or arbitration. Case No. 14-02956 (Sept. 1, 2016).
FINRA Public Disclosure reveals that Tillger has been identified in three additional customer initiated investment related disputes containing allegations of his misconduct while employed with Wharton Equity Corporation and NFP Advisor Services. Specifically, between March 4, 2008, and March 17, 2008, two customers filed investment related written complaints involving Tillger’s conduct, in which the customers requested a total of $10,000.00 in damages based upon allegations including misrepresentation and unsuitability in reference to the customer’s hedge fund investment.
Subsequently, on April 29, 2016, a customer was awarded $100,000.00 in damages according to an investment related arbitration claim involving Tillger’s wrongdoing, based upon allegations that he negligently handled the customer’s limited partnership interest holdings.
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