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Suzanne Wheeler Named in Suitability Dispute

Suzanne Wheeler (CRD #: 1107381), a broker registered with Arkadios Capital, is involved in a pending dispute, according to her BrokerCheck record, accessed on November 13, 2022. Investors may have also engaged her services through Arkadios Wealth Advisors. Read on to learn more about her conduct as a broker.

Investor Dispute

On August 29, 2022, an investor alleged Suzanne Wheeler unsuitable investments. The client seeks $500,000 in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to recommend securities that sufficiently suit an investor’s financial goals. Brokers must consult the investor’s profile, which contains information about their age, tax status, and risk tolerance.

Investors who believe their losses are the result of unsuitable investment recommendations may be able to recover their funds by seeking out FINRA arbitration.

Background Information

Suzanne Wheeler has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Suzanne Wheeler is a registered broker in California, Maryland, New York, South Carolina, and Texas. She is also a registered investment adviser in Maryland.

She has also worked for the following firms:

  • Coastal Equities (CRD#:23769)
  • Coastal Investment Advisors (CRD#:134952)
  • SSN Advisory (CRD#:126090)
  • Securities Service Network (CRD#:13318)
  • National Planning Corporation (CRD#:29604)
  • Cambridge Investment Research (CRD#:39543)
  • U.S. Clearing Corporation (CRD#:13071)

Kurta Law Can Help

If you worked with Suzanne Wheeler and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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. 

 

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