Nicholas Maddox Barred for Failing to Answer FINRA Questions

Attorney Advising Disclaimer

FINRA barred former TCFG Wealth Management (Laguna Niguel, CA) and US Bancorp Investments (Santa Fe Springs/Cerritos) representative Nicholas Brent Maddox for failing to answer investigator's questions pertaining to an alleged regulatory violation while he was associated with US Bancorp.

Prior to his time at TCFG and US Bancorp, Maddox (CRD #4732456) was associated with JP Morgan Securities of Tustin.

According to his BrokerCheck file, Maddox received a customer complaint in November 2017 whereupon a client alleged "poor recommendation/poor advise [sic] regarding equity-listed investment" with a relevant period in April 2016, which would place Maddox at JP Morgan at the time.

Maddox also reported two judgment/liens in January 2017 totaling over $35,000, while TCFG Wealth Management terminated his employment in August 2018, just weeks before FINRA's regulatory action and initial suspension.

If you have invested with Orange County broker Nicholas Brent Maddox or with any representative or financial adviser whose violation of industry rules and regulations have proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for investigation and consultation.

Related Posts
  • Stifel Nicolaus Broker Chuck Roberts Accused of Securities Fraud Resulting in Multi-Million Dollar Damages Read More
  • Wedbush Fined $350k for Approving Fraudulent Wire Transfers Totaling $6.6 Million Read More
  • Stephen Takeda Barred During Customer Loans Investigation Read More