RICK ROBERTS Has A Pending Investor Complaint – May Recover Investor Losses

RICK ROBERTS Has A Pending Investor Complaint – May Recover Investor Losses

TCFG WEALTH MANAGEMENT, LLC broker, RICK ROBERTS Has A Pending Investor Complaint.

RICHARD JAMES ROBERTS
RICK ROBERTS
CRD#: 2145874
RICHARD JAMES ROBERTS (CRD#: 2145874), a broker for TCFG WEALTH MANAGEMENT, LLC in LAGUNA NIGUEL, CA has  a pending investor complaint.
According to Roberts’ FINRA BrokerCheck report, Claimant alleges that, at an unspecified time after September 2022, a former registered representative of the Firm recommended overconcentrated positions in unsuitable Delaware Statutory Trusts (“DSTs”), which were designed to (and did) provide tax benefits in the form of delayed or avoided capital gains taxes following Claimant’s recent sale of real estate property.
As to the registered representative and/or the Firm, Claimant asserts claims for breach of fiduciary duty, negligence, negligent supervision, fraud, breach of contract, violation of the Securities Exchange Act, and violation of the Florida Securities and Investor Protection Act.
As to Mr. Roberts, Claimant asserts only a single claim for liability under the Securities Exchange Act, based solely on conclusory allegations of status as a “control person” of the Firm.

Investors who feel they have been harmed by investment advice or have suffered financial losses are encouraged to contact the securities attorneys at Goodman & Nekvasil, P.A. to have their accounts reviewed and to determine whether they may be entitled to recover losses through FINRA arbitration.

Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. 

TCFG WEALTH MANAGEMENT, LLC broker, RICK ROBERTS Has A Pending Investor Complaint.

TCFG WEALTH MANAGEMENT, LLC broker, RICK ROBERTS Has A Pending Investor Complaint.

Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.

St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors.  The  firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.

Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $500 million dollars on behalf of victimized investors.

We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.

There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.

If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.

Some of the information in this blog post was obtained from FINRA on 4/22/26. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

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