Haselkorn & Thibaut has launched an independent investigation into Robert Thatcher Tudor III, a financial advisor registered with Voya Financial Advisors, Inc., based in Buford, GA. Our firm, nationally recognized for investment loss recovery, invites investors who may have concerns regarding their accounts with Mr. Tudor to schedule a free, confidential consultation. Call 1-888-885-7162 today—there are no fees unless we recover for you.
Background: Who is Robert Thatcher Tudor III?
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Robert Thatcher Tudor III (CRD 5670404) has a long-standing career in the financial services industry, first registering in 1997. Currently, he is affiliated with Voya Financial Advisors, Inc., serving clients in Buford, GA and beyond. Over the years, his broker-dealer history spans several respected firms, including:
- LPL Financial LLC
- Bangerter Financial Services, Inc.
- Concorde Investment Services, LLC
- Concorde Asset Management, LLC
- Triad Advisors, LLC
- Scottrade, Inc. / Scottrade Investment Management
Mr. Tudor holds both his Series 7 (General Securities Representative) and Series 66 (Uniform Combined State Law) licenses, qualifying him to advise on a broad range of investment products. No additional business affiliations are noted for him outside standard broker-dealer activity.
Recent Complaints & Disclosures: What Investors Need to Know
| Type of Complaint or Disclosure | Status | Details |
|---|---|---|
| Customer Complaint | Pending |
FINRA Case No. 25-02465 Allegations: Failure to supervise, breach of fiduciary duty related to direct (DPP & LP) investments in 2022. Damages Sought: $100,000–$500,000. Origin: Customer of Concorde Investment Services, LLC. |
| Regulatory/Sanctions | None | No regulatory fines, suspensions, or disciplinary actions reported. |
| SEC/DOJ Actions | None | No listings in SEC or DOJ enforcement or litigation records. |
| Criminal Disclosures | None | No criminal matters or convictions. |
| Civil/Judicial Disclosures | None | No civil lawsuits or judgements found. |
Key Red Flags Identified
- Pending Customer Arbitration: The most notable event is an active FINRA arbitration where an investor asserts that Mr. Tudor failed in supervisory responsibilities and breached fiduciary duty, especially concerning alternative investments. If you invested in direct participation programs (DPPs), limited partnerships, or other so-called “alternative investments” under his advice, this may be relevant to your situation.
- Complexity of Alternative Investments: Alternative investments often carry higher risks, less regulatory oversight, increased fees, and lower liquidity compared to traditional stocks or bonds. If improperly recommended or if their risks were not fully explained, these factors can lead to significant client losses.
- Broker-Dealer Oversight: A broker-dealer’s responsibility to supervise advisors—especially in relation to complex products—is a standard set out in FINRA Rule 3110. If that supervision is lacking, customer losses can be the unfortunate result.
Current Regulatory Standing
While there is a pending customer dispute, Robert Thatcher Tudor III currently has no finalized disciplinary actions, regulatory sanctions, criminal findings, or civil lawsuits against him on public record. Routine checks of state securities regulators, the SEC, DOJ, and multiple legal databases show no finalized regulatory findings, settlements, or enforcement actions.
How to Check Your Advisor’s Record
For the most up-to-date information on this advisor’s licensing and disclosure history, you can visit FINRA BrokerCheck and enter CRD 5670404. This official tool allows you to confirm registrations, view disclosures, and check for any new developments.
What to Do If You Have Concerns
- Have you experienced unexpected losses? Did you receive advice about complex or alternative investments without a full understanding of the risks?
- Concerned about suitability? Were the investments recommended to you aligned with your goals, risk tolerance, and investment experience?
- Was there a lack of follow-through or oversight regarding your portfolio?
If any of these questions resonate with your experience, Haselkorn & Thibaut can help you review your portfolio and transactions for red flags at no cost.
Why Contact Haselkorn & Thibaut?
Haselkorn & Thibaut is a nationally recognized law firm focused exclusively on investment loss recovery. With over 50 years of combined experience, a 98% success rate, and millions recovered for clients, we pursue claims against advisors and broker-dealers nationwide. Our commitment: No recovery, no fee.
We offer a strategic, client-first approach:
- Fast and confidential consultations—get answers and action quickly
- Zero upfront fees—we only get paid if you do
- Deep knowledge of FINRA arbitration and investor claims
- Personalized guidance—you work directly with seasoned attorneys
Take Action: Free, No-Obligation Consultation
If you or a loved one invested with Robert Thatcher Tudor III at Voya Financial Advisors, Inc. in Buford, GA, and have questions or concerns regarding your account, don’t wait. The sooner you seek advice, the more options you may have to recover losses.
Contact Haselkorn & Thibaut today by calling 1-888-885-7162 for your free portfolio review. There is never a charge to speak with an experienced investment loss attorney—and you pay nothing unless we obtain a financial recovery for you.
Your financial well-being matters. Let our nationally recognized team help you assess your situation and pursue the outcome you deserve.
