Tag Archives: Nicholas Brent Maddox

TCFG Wealth Stockbroker Barred In Investigation

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, […]

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US Bancorp Stockbroker Investigated For Misconduct

August 25, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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