Wealth Management
TCFG Wealth Management, LLCAbout
Important information
- Pending Government Action:Government Action: BBB reports on known government actions involving business’ marketplace conduct:Securities and Exchange Commission v TCFG Wealth Management LLC and Richard Roberts
The following describes a pending government action that has been formally brought by a government agency but has not yet been resolved. We are providing a summary of the governments allegations, which have not yet been proven.
On September 30, 2021, the Securities and Exchange Commission filed a complaint against TCFG Wealth Management, LLC and Richard James Roberts. Charges filed allege that Richard Roberts violated the antifraud provisions of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, and charges filed allege the business is in violation of aiding and abetting those violations of Mr. Roberts.
The matter is pending.
Business Details
- BBB File Opened:
- 12/3/2021
- Business Started:
- 4/10/2012
- Business Incorporated:
- 4/10/2012
- Type of Entity:
- Limited Liability Company (LLC)
- Related Businesses:
- Certus Financial Group LLC
Additional Contact Information
- Principal Contacts
- Mr. Richard Roberts, CEO
- Customer Contacts
- Mr. Richard Roberts, CEO
- Additional Email Addresses
- Primary: Email this Business
Additional Information
- Business Categories
- Wealth Management
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