FREDERICK EUGENE MONROE JR (FRED MONROE JR, FREDERICK EUGENE JR MONROE) CRD#: 2457010
According to the SEC documents, from February 2006 through June of 2015, Fred Monroe was a registered representative associated with Voya Financial Advisors, Inc. Fred Monroe, 61 years old, was a resident of Queensbury, New York and is presently incarcerated.
On December 21, 2015, Monroe pleaded guilty to, among other things, one count of Grand Larceny. On February 16, 2016, Monroe was sentenced to a prison term of 5 and 1/3 to 16 years. Monroe also signed confessions of judgment in favor of his victims totaling $3,074,012.
FREDERICK EUGENE MONROE JR has been barred by the SEC from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Also he was barred from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent, or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock.
The following posting was listed on Soreide Law Group website on the blog dated, June 25, 2015:
Former New York Financial Planner and Senior Vice President Charged in Ponzi-Scheme
According to FINRA’s BrokerCheck, FREDERICK EUGENE MONROE JR in July, 2015, failed to respond to FINRA’s request for information and was barred. There are 18 disclosures on his report, 15 are Customer Disputes. The majority of the Customer Disputes allege ‘misappropriation of funds.’ Monroe was in the securities industry for 20 years and listed with 3 firms, the most recent listed below:
2/21/2006 - 06/11/2015 VOYA FINANCIAL ADVISORS, INC - ALBANY, NY
If you were a victim of FREDERICK EUGENE MONROE JR, formerly a broker with VOYA FINANCIAL ADVISORS, INC of ALBANY, NY, and experienced losses due to his actions, recommendations or lack of supervision, call Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA. We operate on a contingency fee basis. Let our years of experience work for you.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
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