Edgar Davis Mock III (Dave Mock) – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Dave Mock | Goodman & Nekvasil P.A., May Recover Investor Loss
Dave Mock is a currently licensed financial advisor/broker with Trustmont Financial Group, Inc. Dave Mock was a previously licensed financial advisor with Money Management Advisory, Inc. According to Dave Mock’s BrokerCheck Report, one customer dispute has been filed alleging sales practice violations against Dave Mock.
Customer Dispute (6/02/20): Allegations against Dave Mock are unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law. This customer dispute is currently pending and requests $373,717.00 in damages. The product at issue is an Annuity-Variable.
According to Edgar Mock’s BrokerCheck Report, Edgar Mock was fined $5,000.00 and suspended from the securities industry for one year beginning in February 2010. According to FINRA, Edgar Mock prepared false documents relating to his member firm’s annual reports of its supervisory control system and annual certification of its compliance and supervisory processes, which Edgar Mock later provided to FINRA. Edgar Mock backdated the documents to make them appear that they were prepared and executed on earlier dates.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost any money on investments with Dave Mock, you may be able to recover your losses. If you lost money on investments with Dave Mock and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Dave Mock’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Dave Mock and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 9/1/20 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.