David Wheatley Under Investigation by the Teachers Insurance and Annuity Association of America
David Wheatley (CRD #:2337773), a broker registered with Newedge Securities, is under investigation by the Teachers Insurance and Annuity Association of America, according to his BrokerCheck Record accessed on January 18, 2022. He is also a registered investment advisor with Newedge Advisors.
According to the disclosure, dated October 18, 2021, the investigation stems from the following allegations:
- Breach of Contract
- Breach of the Duty of Loyalty
- Unfair Competition
Background Information
David Wheatley has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- Series 65 – Uniform Investment Adviser Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
- Series 24 – General Securities Principal Examination
- Series 26 – Investment Company Products/Variable Contracts Principal Examination
David Wheatley is a registered broker in Connecticut and Florida. He is also a registered investment advisor in Connecticut.
He has also worked with the following firms
- Advice And Planning Services (CRD#:20472)
- TIAA-CREF Individual & Institutional Services (CRD#:20472)
- Woodbury Financial Services (CRD#:421)
- HSBC Securities (USA) (CRD#:19585)
- HSBC Brokerage (USA) CRD#:6956)
- The Equitable Life Assurance Society Of The United States (CRD#:4039)
- AXA Advisors (CRD#:6627)
Kurta Law Can Help
If you have been victimized by David Wheatley as a broker, don’t hesitate to get in touch with us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Please contact us for any questions about how to proceed.