Rex Securities Law Investment Fraud Attorney Investigates TCFG Wealth Management Broker Scott Offerman

Rex Securities Law Investment Fraud Attorney Investigates TCFG Wealth Management Broker Scott Offerman

Rex Securities Law Investment Fraud Attorney Investigates TCFG Wealth Management Broker Scott Offerman 150 150 Robert Rex, Esq.

Last Updated: November 2023 (New York, NY)

Scott Offerman Investigation Summary

Here’s what you need to know about New York, NY, stockbroker Scott Offerman:

  • Name: Mr. Scott Offerman
  • Current Employer: TCFG Wealth Management
  • DBA: 1031 Financial
  • Previous Firms: Nextrend Securities, Sandlapper Securities, Concorde Investment Services
  • Function: Stock Broker/ Financial Advisor
  • Aliases: None
  • Primary Location: New York, NY
  • CRD 4619093
  • Can Scott Offerman be sued in FINRA arbitration: Yes
  • Sanctioned by FINRA: No
  • Terminated by a prior employer: Yes
  • Pending Customer Dispute Seeks Damages of $1,000,000

Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.

Did You Lose Money With Scott Offerman As Your Stockbroker?

A customer of Concorde Investment Services filed a FINRA arbitration in 8/2023 alleging that Scott Offerman breached his fiduciary duty, violated FINRA/NYSE/SEC Rules and the New York Consumer Protections Statute. Damages of $1 million are sought in this currently pending matter.

In 4//2017 Concorde Investment Services ‘permitted’ Offerman to resign. Concorde makes this allegation on Offerman’s FINRA record: “Representative was permitted to resign for failure to disclose firm U4 reportable liens in a timely manner.”

Allegations of Broker Misconduct Against Scott Offerman

A customer of Scott Offerman alleged the following wrongdoing in connection with the handling of customer accounts:

  • Breach of Fiduciary Duty
  • Violation of NY Consumer Protection Law
  • Unjust Enrichment
  • Negligence
  • Breach of Contract

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

Recover Your Investment Losses Now With Rex Securities Law

If you have suffered investment losses in an account handled by Scott Offerman, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.

With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.

If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.

Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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