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 Goldman Scarlato & Penny PC 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.

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.

Securities Lawyer Investigating

The Goldman Scarlato & Penny PC 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, or through the contact form on this webpage.

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