Investor Alleges Carlos Ingram Liquidated Account Without Authorization
Carlos Ingram (CRD #: 4342081), a broker registered with Silver Oak Securities, allegedly liquidated a client’s account without approval, according to his BrokerCheck record, accessed on April 21, 2022. Read on to learn more about Carlos Ingram’s conduct as a broker.
Allegations of Unauthorized Liquidation
An investor filed a dispute on January 18, 2022, alleging Carlos Ingram liquidated their individual brokerage account in January 2016 without their authorization. They seek $149,828.17 in damages in this pending dispute.
FINRA Rule 3260
FINRA Rule 3260 forbids brokers from conducting trades in a client’s account without their approval. Only in discretionary accounts can brokers conduct trades without explicit authorization.
In 2021, Carlos Ingram became the subject of two tax liens totaling $6,700.90.
Carlos Ingram has passed the following exams:
- Series 66 - Uniform Combined State Law Examination
- Series 63 - Uniform Securities Agent State Law Examination
- SIE - Securities Industry Essentials Examination
- Series 7 - General Securities Representative Examination
Carlos Ingram is a registered broker in five states and the District of Columbia. He is also a registered investment adviser in Georgia.
He has also worked for the following agencies:
- Verity Asset Management (CRD#:158667)
- Verity Investments (CRD#:41527)
- Silver Oak Securities (CRD#:46947)
- Ogilvie Security Advisors Corporation (CRD#:10105)
- Intersecurities, Inc. (CRD#:16164)
- Jefferson Pilot Securities Corporation (CRD#:3870)
- Lincoln Investment Planning (CRD#:519)
Kurta Law Can Help
If you worked with Carlos Ingram and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.