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
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 firstname.lastname@example.org for a free consultation.
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