Stephen Tadlock— Alleged Unsuitable Recommendations

Stephen Christopher Tadlock, a.k.a. Chris Tadlock, Allegedly Made an Unsuitable Recommendation that a Client Surrender Her Fiixed Annuity

Stephen Christopher Tadlock, a.k.a. Chris Tadlock, allegedly made an unsuitable recommendation that a client surrender her fixed annuity and purchase a Lincoln National Life Insurance variable annuity in August 2013, according to Pending Customer Dispute under review by investor rights attorney Alan Rosca.

Said Claimant also made allegations that Tadlock recommend that she surrender the variable annuity and purchase a new variable annuity less than 2 years later, FINRA notes.

In addition, the aforementioned Claimant alleges that Tadlock failed to advise and warn her about an unregistered investment that she discovered and pursued away from the respondent firm, FINRA notes.

The aforementioned dispute was filed on April 1, 2019, FINRA states, and damage amounts of $400,000.00 have been requested.

Investor rights attorney Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Stephen Tadlock’s alleged unsuitable recommendations. Investors who believe they may have lost money in activity related to Stephen Tadlock’s alleged unsuitable recommendations are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Invested with Stephen Tadlock?

Stephen Tadlock Discharged by Ameriprise Financial Services, Inc.

Stephen Christopher Tadlock was allegedly discharged by Ameriprise Financial Services, Inc. for alleged failure to retain records related to client suitability, investment and transaction information, FINRA notes.

Stephen Tadlock is only registered in Texas, and has 8 years of service in the securities industry in the Lone Star State, FINRA reports.

Tadlock has been registered with Park Avenue Securities in Houston, Texas since October 19, 2018, FINRA states. Tadlock has also been registered at the following firms:

MML Investors Services, LLC, Houston, Texas— February 15, 2018 to October 8, 2018
Ameriprise Financial Services, Inc., Houston, Texas— May 3, 2013 to August 9, 2017
Edward Jones, Pearland, Texas— February 17, 2010 to May 6, 2013

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Invested with Stephen Tadlock?

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Stephen Tadlock’s alleged unsuitable recommendations. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Stephen Tadlock’s alleged unsuitable recommendations may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

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