Cash Freeman: RBC Denies $1mm Complaint Against Fort Collins Advisor

RBC Capital Markets financial advisor Cash Freeman (CRD# 6374508) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Fort Collins, Colorado.

Mr. Freeman’s BrokerCheck report discloses one investor complaint. Filed in August 2022, it alleges that as a representative of RBC Capital Markets, he “did not execute investment transactions as requested” from March 2020 until the present, and further that he engaged in “other less egregious”service issues. The complaint alleged damages of $1 million and was denied by the firm in February 2023.

FINRA Rule 2010 stipulates that FINRA-associated persons must “observe high standards of commercial honor and just and equitable principles of trade.” Many types of unethical conduct, such as the failure to follow a client’s directions, may constitute violations of FINRA Rule 2010, provided the activities occur “in the conduct of [the member’s] business.” Financial advisors who fail to uphold this rule may be liable in the event of damages.

According to the Financial Industry Regulatory Authority, Cash Freeman holds eight years of securities industry experience. Based in Fort Collins, Colorado, he has been a broker and an investment advisor with RBC Capital Markets since 2015. He was previously registered with Edward Jones in Windsor, Colorado from 2014 until 2015. His credentials include the passage of six securities industry qualifying exams: the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Representative Examination, or Series 7; the Futures Managed Funds Examination, or Series 31; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He holds 38 state licenses. (Information current as of October 5, 2022.)

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