Articles Tagged with Trustmont Financial Group

Dave Mock (CRD#: 1309680), a registered representative with Trustmont Financial Group, Inc. (CRD#: 18312) and a Registered Investment Adviser (RIA) with Money Management Advisory, Inc. (CRD#: 14983) in Feasterville, Pennsylvania, is currently involved in an investor dispute over suitability, according to his BrokerCheck record accessed on July 28, 2020. What happened to lead to this dispute? Read on to learn more. 

Dave Mock
On June 2, 2020, a client filed an investor complaint against Dave Mock. The client alleges that he recommended unsuitable investment products, committed common law fraud, breached his fiduciary duty, engaged in unjust enrichment, engaged in failure to supervise, and violated the Pennsylvania Unfair Trade Practices and Consumer Protection Law. the activity in question occurred from 2012 to 2017. The client is seeking $375,717 in damages. The matter is pending. Dave Mock’s colleague, Jeff Dillman, is involved in the same dispute. 

Dave Mock has passed the Series 63 – Uniform Securities Agent State Law Examination, the SIE – Securities Industry Essentials Examination, the Series 7 – General Securities Representative Examination, the Series 6 – Investment Company Products/Variable Contracts Representative Examination, the Series 27 – Financial and Operations Principal Examination, and the Series 24 – General Securities Principal Examination. He is a broker and Registered Investment Adviser (RIA) in New Jersey and Pennsylvania. He is licensed to sell securities in California, Georgia, Maryland, North Carolina, and West Virginia. 

Trustmont Financial GroupPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 6, 2018 indicate that an investors has won an award exceeding $1,000,000 in an arbitration claim against Trustmont Financial Group.

Filed in February 2017, the investor’s claim alleged Trustmont Financial Group violated the Florida Securities and Investor Protection Act, breached its fiduciary duty, committed fraud, failed in its supervisory duties, recommended unsuitable products, acted negligently, negligently misrepresented material facts, omitted material facts, breached contract, and was negligent in its supervisory duties in connection to investments in two 1035 annuity exchanges and a private real estate investment trust, or REIT.

Established in Pennsylvania in 1986, Trustmont Financial Group is headquartered in Greensburg, Pennsylvania and registered with 51 US states and territories. Its BrokerCheck report lists this customer complaint and three regulatory events on the firm’s disclosure records.

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