Stephen Wenske Investigation
March 2023- Roanoke, TX
According to publicly available records Stephen Wenske, a broker who last worked for Edward Jones, discloses a final regulatory event that resulted in his being barred from FINRA in all capacities and a termination from employment.
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.
In 3/2022, Wenske was permanently barred from FINRA in all capacities as a result of his failure to respond to FIRNA requests for information in connection with a regulatory investigation. .
In 4/2021, Edward Jones terminated Wenske after allegations that he transferred personal funds into a family members bank account. Wenske had been with Edward Jones since 6/2017.
If you have questions about an account handled by Stephen Wenske contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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