David Wolfe Embroiled in Dispute after Allegedly Mishandling Client’s Account
David Wolfe (CRD #:1019315), a broker registered with Aaron Capital Incorporated, is involved in an investor dispute, according to his BrokerCheck record, accessed on January 7, 2022. Keep reading for more information.
On October 26, 2021, an investor filed a dispute against David Wolfe, alleging that he mishandled an account and involved an affiliate company in a loan. The case was settled for $178,814.
FINRA Rule 2510 and 2010
Section A of FINRA Rule 2150 prohibits brokers and brokerage firms from misusing customers’ funds or securities. David Wolfe also allegedly violated FINRA Rule 2010, which requires associated persons to “observe high standards of commercial honor and just and equitable principles of trade” in the conduct of their business.
On December 18, 2018, David Wolfe was the subject of a tax lien amounting to $68,878.14.
In 2011, David Wolfe was the subject of two civil liens, totaling approximately $85,015.76.
David Wolfe has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
- Series 4 – Registered Options Principal Examination
- Series 27 – Financial and Operations Principal Examination
- Series 24 – General Securities Principal Examination
He is a registered broker in 21 states.
Besides Aaron Capital Incorporated, David Wolfe has also worked with the following firms:
- J. Alexander Securities (CRD#:7809)
- Tradeway Securities Group (CRD#:29794)
- Carty & Company (CRD#:7001)
- Aragon Financial Services (CRD#:16023)
- Intrepid Securities (CRD#:19311)
- Grey, Randolf & Abbott (CRD#:16787)
- Titan/Value Equities Group (CRD#:6359)
- Principal Securities (CRD#:14819)
- United Resources Financial (CRD#:10509)
- Integrated Resources Equity Corporation (CRD#:6403)
Kurta Law Can Help
If you have worked with David Wolfe and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or email@example.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.