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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. Brokers can only conduct trades without explicit authorization in discretionary accounts 

Tax Lien

In 2021, Carlos Ingram became the subject of two tax liens totaling $6,700.90. 

Background Information

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 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.