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George Fill Involved in Investor Dispute After Allegedly Executing Unauthorized Trades

Jan 28, 2022 Investor Disputes

George Fill (CRD #:5396631), a broker registered with The Rockwell Financial Group, is involved in an investor dispute according to his BrokerCheck record, accessed on January 7, 2022. Keep reading for more details if you are concerned about his conduct as a broker. 

Investor Allegations 

According to the allegations filed on October 28, 2021, George Fill opened a speculative, high-risk account with a personal friend. The friend alleged that George Fill executed unauthorized trades. They are seeking $147,555.02 the case is still pending. 

Unauthorized trading or unauthorized transactions occur when a broker executes securities transactions without authorization from their client. Unless an account has been approved for discretionary trading, a broker must always have authorization from an investor before executing any trades.  

FINRA Rule 2510

  1. FINRA Rule 2510 requires that brokers only execute unauthorized trades in discretionary accounts. For non-discretionary accounts, investors must always seek their customer's authorization.  
  2. Making unauthorized trades in a customer's account is a breach of the duty to observe high standards of commercial honor and just and equitable principles, in violation of FINRA Rule 2010. 

Tax Lien 

On August 22, 2013, George Fill was the subject of a tax lien amounting to $5,601.  

Background Information 

George Fill has passed the following exams: 

  • Series 63 - Uniform Securities Agent State Law Examination 
  • SIE - Securities Industry Essentials Examination 
  • Series 7 - General Securities Representative Examination 

He is a registered broker in 26 states.  

Besides The Rockwell Financial Group, George Fill has also worked with; 

  • Caldwell International Securities (CRD#:104323) 
  • Reid & Rudiger (CRD#:47263) 

Kurta Law Can Help 

If you have worked with George Fill and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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.