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Articles Tagged with WFG Investments

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 8, 2017 indicate that Alabama-based WFG Investments broker/adviser James Conwell II has received pending customer disputes and a FINRA sanction. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Conwell (CRD# 1436190). James Conwell has spent 30 years […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on April 25, 2017 indicate that Oklahoma-based TS Phillips Investments Broker Donna Chism was terminated from her former employer. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Chism (CRD# 865698). Donna Chism has spent 36 years in the securities industry […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 10, 2017 indicate that Tennessee-based WFG Investments broker/adviser Gary Osing has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Osing (CRD# 5477151). Gary Osing has spent nine years in the […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 10, 2017 indicate that Oklahoma-based WFG Investments broker/adviser Mark Holloway has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Holloway (CRD# 1342511). Mark Holloway has spent 31 years […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 9, 2017 indicate that Alabama-based WFG Investments broker/adviser Damian Bell has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bell (CRD# 2348521). Damian Bell has spent 23 years […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 7, 2017 indicate that former Oklahoma-based WFG Investments broker Jay Jordan has been the subject of numerous resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Jordan (CRD# 1776666). Jay Jordan has spent […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 30, 2016 indicate that former Tennessee-based WFG Investments broker/adviser Wesley Wood has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wood (CRD# 4703879). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that Texas-based brokerage and advisory firm WFG Investments has been sanctioned and fined following allegations that, among others, it failed to apply sales charge discounts to certain purchases of unit investment trusts (UITs). The securities and investment fraud law […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 9, 2016 indicate that former Oklahoma-based WFG Investments broker Jay Jordan has settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jordan (CRD# 1776666). Jay Jordan has […]

Fitapelli Kurta is investigating customer complaints against WFG Investments, Inc. a FINRA member firm headquartered in Dallas, Texas with 342 registered persons and 115 branch offices. WFG Investments, Inc. has recently been scrutinized by FINRA for its supervisory failures.  Specifically, FINRA has fined or sanctioned the firm for the following activity: In May 2008, FINRA censured […]

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