The Rockwell Financial Group, Inc. Broker George Fill Accused of Unauthorized Trades

The Rockwell Financial Group

Erez Law is currently investigating The Rockwell Financial Group, Inc. broker George Fill (CRD# 5396631) regarding unauthorized trades. He has been registered with The Rockwell Financial Group, Inc. in Hicksville, New York since 2016. 

George Fill Customer Complaints

George Fill has been the subject of one customer complaint, according to his CRD report:

October 2021. “Mr. George Fill opened a speculative, high risk account with his personal friend [REDACTED] in March 2017. [REDACTED] alleges unauthorized trades after Oct 14th 2019.” The customer is seeking $147,555.02 in damages and the case is currently pending. 

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, The Rockwell Financial Group, Inc. may be liable for investment or other losses suffered by George Fill’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.