Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 29, 2019 indicate that former New York-based Worden Capital Management broker Wesley Wallace, who has received resolved or pending customer disputes, is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wallace (CRD# 5822512).
Wesley Wallace has spent six years in the securities industry and was most recently registered with Worden Capital Management in Garden City, New York (2014-2017). He was previously registered with JD Nicholas & Associates in Syosset, New York (2010-2014). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 24, 2010; SIE (Securities Industry Essentials Examination), which he obtained on July 12, 2017; and Series 7 (General Securities Representative Examination), which he obtained on September 7, 2010. He is currently not affiliated with any broker-dealer firm.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.
In February 2019 a customer alleged Wesley Wallace, while employed at Worden Capital Management, charged excessive commissions, churned investments, and executed unsuitable transactions involving over-the-counter equities and listed equities. The customer is seeking more than $70,700 in damages in the pending complaint.
In 2017 a customer alleged Wesley Wallace, while employed at Worden Capital Management, committed fraud, negligently misrepresented material facts related to an investment in over-the-counter equities, breached his fiduciary duty, was negligent in his supervisory duties, and breached the covenants of good faith and fair dealing. The complaint settled for $12,500.
If you or someone you know has a complaint regarding Wesley Wallace, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.