Ex-wife says investment advisor failed to award her court-ordered assets

By Bree Gonzales | Jan 29, 2019

PRINCETON — A woman is suing her former husband and an investment advisor, citing alleged noncompliance with a court's order.

Carolyn Dillon Brock filed a complaint in Mercer Circuit Court against Mark Edward Brock and the Vanguard Group Inc., saying the investment advisor made no effort to abide by the court's order to award her her marital portion of her ex-husband's traditional IRA account.

According to the complaint, the plaintiff alleges that on June 4, 2018, and August 23, 2018, she by her counsel tendered a court order to divide Mr. Brock's traditional IRA account to Vanguard, along with a letter asking if there were any further requirements for her to receive her marital portion. 

The plaintiff holds Vanguard Group Inc. responsible because it allegedly disregarded a Qualified Domestic Relations Order. Mark Edward Brook has been joined in the action only because he is a necessary and indispensable party to the proceedings, the suit says.

The plaintiff seeks that the court review and declare that the existing Qualified Domestic Relations Order is in proper form, and order Vanguard to honor and implement the terms plus reimburse the plaintiff and Mark Edward Brook for any legal expenses, fees and costs. She is represented by Randall L. Veneri of Veneri Law Offices in Princeton.

Mercer Circuit Court Case number 18C338

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