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Feltl & Company

Timothy D. O’Brien – Former Feltl & Co. Broker- Discloses 2 Regulatory Events, Customer Disputes – Inver Grove Heights, MN

Timothy D. O’Brien – Former Feltl & Co. Broker- Discloses 2 Regulatory Events, Customer Disputes – Inver Grove Heights, MN 150 150 ER

August 2021- Inver Grove Heights, MN According to publicly available records Timothy David O’Brien,  a financial advisor who is not currently registered, but was last employed by Feltl & Company, …

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Brandt B. Wendland-Former Feltl & Co. Broker-Named in Customer Arbitration Involving Penny Stocks

Brandt B. Wendland-Former Feltl & Co. Broker-Named in Customer Arbitration Involving Penny Stocks 150 150 Rex Securities Law

Minneapolis, MN According to FINRA records, Brandt B. Wendland , a broker who was  registered  with Feltl & Company from  3/2004-2/2017 and who is now employed by Advanced Advisor Group , disclose a…

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Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning

Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning 150 150 Rex Securities Law

MAY 2018 UPDATE-Minnetonka, MN According to FINRA records, Bernard T. Weber ,  a broker who has been  registered  with Feltl & Company since  12/2006 , discloses five prior customer disputes, two final regulatory…

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Feltl & Co. Broker Timothy O’Brien Sanctioned by Securities Regulator

Feltl & Co. Broker Timothy O’Brien Sanctioned by Securities Regulator 150 150 Rex Securities Law

December 31,2014 Timothy David O’Brien   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he traded the accounts of several his…

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Recovery of Losses on Feltl & Co. Exchange Traded Funds

Recovery of Losses on Feltl & Co. Exchange Traded Funds 150 150 Rex Securities Law

December 29, 2014 Feltl & Company  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between January 2009 and September 2012,…

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James Purtle, Feltl and Company Broker, Sanctioned by FINRA

James Purtle, Feltl and Company Broker, Sanctioned by FINRA 150 150 Rex Securities Law

October 10, 2014-Ramsey, Minnesota James Harrison Purtle entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from February 2010 through December…

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Thomas Charbonneau Barred from Securities Industry

Thomas Charbonneau Barred from Securities Industry 150 150 Rex Securities Law

Thomas Neil Charbonneau of Arden Hills, MN, was barred from the securities industry to resolve FINRA allegations that between October 2008 and May 2013, he sold 1.7 million shares of…

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Feltl & Company Fined $1 Million Over Penny-Stock Sales

Feltl & Company Fined $1 Million Over Penny-Stock Sales 150 150 Rex Securities Law

On September 3, 2014,  the Wall Street Journal reported that Minneapolis broker-dealer Feltl & Company, who has about 113 brokers and eight branch offices in Minnesota and Illinois,  has been…

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