George Paul Fill, Broker with Rockwell Financial Group, Named in Customer Dispute Alleging Unauthorized Trades

INVESTORS: Rockwell Financial Group broker George Paul Fill was named in a customer dispute alleging that he made unauthorized trades.

George Paul Fill (CRD#:5396631) is registered as a broker with Rockwell Financial Group, where he has been employed since 2016. Previously, Fill was registered as a broker with Caldwell International Securities from 2014 until 2016.

Fill has two disclosures on his BrokerCheck report. 

November 2021 Customer Dispute

Status: Pending

Allegations: 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.

Damage Amount Requested: $147,555.02

August 2013 Judgment / Lien

Judgment / Lien Amount: $5,601.00

Judgment / Lien Type: Tax

Broker Comment: This is the first time I have heard of this lien from the State of Pennsylvania. A background and credit check does not reflect the lien. If a further investigation with accountant and courthouse shows this to be mine it will be promptly resolved and U-4 updated to reflect it being satisfied.

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