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Investor Alleges Colin Mansfield Breached Contract

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
June 23, 2023 at 9:19pm

Colin Mansfield (CRD #: 4643275), a broker registered with DFPG Investments, is the subject of a pending investor dispute, according to his BrokerCheck record, accessed on June 15, 2023. If you want to know more about his alleged conduct as a broker, read on.

Investor Dispute

On May 1, 2023, an investor filed a dispute alleging that Colin Mansfield breached his contract with regard to a recommendation of a real estate investment. The client seeks $300,000 in damages in this pending dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Criminal Charge

On June 7, 2018, Colin Mansfield was convicted of a misdemeanor charge.

Background Information

Colin Mansfield has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Colin Mansfield is a registered broker in eight states and a registered investment adviser in California, Nevada, and Texas.

He has also worked for the following firms:

  • First Allied Advisory Services (CRD#:137888)
  • First Allied Securities (CRD#:32444)
  • MetLife Securities (CRD#:14251)
  • Metropolitan Life Insurance Company (CRD#:4095)

Kurta Law Can Help

If you worked with Colin Mansfield and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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. 

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