Did you lose money investing with Chris Wendel (CRD# 1930870)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Chris Wendel. If you suffered losses investing with Chris Wendel, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
As of April 21, 2020, Chris Wendel’s FINRA BrokerCheck Report contains the following:
BARRED: FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
Disclosure Events
8 Customer Dispute(s)
2 Regulatory Event(s)
1 Investigation(s)
1 Employment Separation After Allegations
Current and Previous Registrations
09/12/2014 – 09/05/2017 SA STONE WEALTH MANAGEMENT INC. (CRD#:18456) CELINA, OH
09/04/2002 – 09/12/2014 WRP INVESTMENTS, INC. (CRD#:7365) CELINA, OH
03/21/1989 – 09/05/2002 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
03/21/1989 – 09/05/2002 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
Due Diligence Requirement
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
Request a Free Consultation with a Securities Attorney
If you suffered losses investing with Chris Wendel and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.