June 2020 -Atlanta, GA
The FINRA records of Christopher J. Wenner , a stockbroker previously registered with Peachtree Capital Corp. , disclose a pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In FINRA case #19-03415, a customer of Wenner’s previous employer, UBS Financial Services, Inc., alleges that Wenner failed to discover or detect that her husband forged an IRA distribution form and two USB power of attorney forms and used these to fraudulently drain securities and funds from her account. The claimant further alleges unsuitability and is seeking damages of $361,537.
Wenner was employed with Peachtree Capital Corp. from April 2016 until October of 2017. Before that he was with UBS Financial Services, Inc.
Wenner discloses a business affiliation as a portfolio manager and trader with The Pessego Funds.
If you have questions about an account handled by Christopher Wenner, call for a no charge consultation with an experienced securities attorney .
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
International Representation
TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870