Last Updated: October 2023 (Lakewood, CO)
Chip Wernig Investigation Summary
Here’s what you need to know about Lakewood, CO, stockbroker Charles M. Wernig, III:
- Name: Mr. Charles Matthew Wernig, III
- Current Employer: Barred from industry by FINRA
- Previous Firms: Voya Financial Advisors, Kestra Financial Services, NFP Securities, dba Premier Financial Benefits
- Function: Stock Broker/ Financial Advisor
- Aliases: Chip Wernig
- Primary Location: Lakewood, CO
- CRD 4305235
- Can Chip Wernig be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
- Discharged by a prior employer: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Chip Wernig As Your Stockbroker?
Chip Wernig was permanently barred from the securities industry by FINRA and Colorado securities regulators in 8/2019 after he failed to respond to cooperate with a regulatory investigation.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Chip Wernig, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
