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David Wheatley Under Investigation by the Teachers Insurance and Annuity Association of America

Feb 1, 2022 Regulatory Action

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:  

  1. Breach of Contract  
  2. Breach of the Duty of Loyalty  
  3. 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. 

 David Wheatley 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.