Nicholas Brent Maddox of Laguna Niguel California a stockbroker formerly employed by U.S. Bancorp Investments Inc. is subject of a pending regulatory action initiated by Financial Industry Regulatory Authority (FINRA) concerning allegations of Maddox violating FINRA Rule 8210. Case No. 20170566779 (June 22, 2018).
FINRA Public Disclosure confirms that Maddox was subsequently employed by TCFG Wealth Management LLC between July 10, 2018 and August 2, 2018, at which point he was terminated based upon accusations that he violated FINRA Rule 8210 by failing to respond to FINRA’s requests for Maddox’s information.
Moreover, on November 10, 2017, a customer filed an investment related complaint regarding Maddox’s conduct where the customer sought $7,736.00 in damages founded on allegations of suitability pertaining to stock trades executed in the customer’s account while Maddox was associated with J.P. Morgan Securities LLC.
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