Colin Mansfield: $300K Complaint Against Global Wealth Advisor

A recent investor complaint against San Jose financial advisor Colin Mansfield (CRD# 4643275) alleges six-figure damages resulting from misconduct. Records provided by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with DFPG Investments, doing business as Global Wealth Partners.

Mr. Mansfield’s BrokerCheck report discloses one investor complaint. Filed in April 2023, it details allegations of a “breach of contract related to a recommended real estate security” while he was a representative of DFPG Investments. The pending complaint alleges damages of $300,000.

In a statement included with the pending complaint’s disclosure, Mr. Mansfield pushes back against the claim. “While I was not a named party in this arbitration,” he writes, “per industry rules this is being disclosed on my public disclosure.”

For reference, FINRA Rule 2010 requires that persons associated with FINRA “observe high standards of commercial honor and just and equitable principles of trade.” Many forms of unethical activities constitute violations of FINRA Rule 2010, provided the activities occur “in the conduct of [the member’s] business.” More information on the rule is available via FINRA.

According to the Financial Industry Regulatory Authority, Colin Mansfield holds 20 years of securities industry experience. Based in San Jose, California, he has been a broker and an investment advisor with DFPG Investments since 2015, doing business as Global Wealth Partners. His registration history includes first Allied Securities (San Jose, California; 2010-2015), MetLife Securities (San Jose, California; 2003-2010), and Metropolitan Life Insurance Company (Temecula, California; 2003-2007). His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in California, Colorado, Idaho, Minnesota, Nevada, North Carolina, Oregon, and Texas. (Information current as of June 3, 2023.)

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