DID PHILLIP CHAD FARMER CAUSE YOU INVESTMENT LOSSES?
About Phillip Farmer Of Vanguard Marketing Corporation?
Phillip Farmer (CRD #6378880) has been registered in the securities industry since 2014, primarily with Vanguard Marketing Corporation and Vanguard Advisers, Inc., in Charlotte, North Carolina. Over the course of his career, he has been registered with one self-regulatory organization and is licensed in two U.S. states and territories. Farmer has passed two general industry/product exams and two multi-state securities law exams, demonstrating a foundational knowledge of the industry’s regulatory requirements. His professional qualifications also include a Certified Financial Planner designation, further enhancing his advisory capabilities.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Phillip Farmer Customer Complaints and Reviews
Phillip Chad Farmer has one criminal disclosure and one customer dispute reported:
- Criminal Disclosure (Dismissed): On November 12, 2008, Farmer faced a misdemeanor charge of theft by shoplifting, which was dismissed on June 9, 2009, in the Magistrate Court of Columbia County, Augusta, GA.
- Customer Dispute (Settled): A complaint was filed on April 15, 2020, where a client alleged that Farmer sold equities she had requested to hold, occurring between March 18, 2020, and May 6, 2020. The dispute was settled on May 21, 2020, for $40,532.94, with no financial contribution from Farmer.
Allegations Against Phillip Farmer
The allegations against Phillip Chad Farmer include:
- Criminal Allegation: Farmer was initially charged with theft by shoplifting, a misdemeanor, which was subsequently dismissed, indicating no conviction was made.
- Customer Dispute Allegation: The client accused Farmer of acting contrary to her instructions by selling designated equities she wished to retain, which led to a financial settlement to make the client’s account whole, albeit without specifying exact damages. This settlement was reached without an admission of wrongdoing by Farmer.
Phillip Farmer Red Flags & Your Rights As An Investor
Of course, Phillip Farmer did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Phillip Farmer at Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether Phillip Farmer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing Corporation also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Vanguard Marketing Corporation Due To Phillip Farmer
If you have questions about Vanguard Marketing Corporation and/or Phillip Farmer and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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