Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 10, 2016 indicate that Maryland-based H. Beck broker/adviser Wendy Feldman has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Ms. Feldman (CRD# 1946800).
Wendy Feldman has spent twenty-seven years in the securities industry and has been registered with H. Beck in Bethesda, Maryland since September 2016. Previous registrations include Morgan Stanley in Washington, DC (2009-2016); Morgan Stanley & Company in Washington, DC (2008-2009); Wachovia Securities in Washington, DC (2003-2008); Prudential Securities Incorporated in New York, New York (1993-2003); Smith Barney Shearson in New York, New York (1993); and Lehman Brothers in New York, New York (1989-1993). She is a registered broker and investment adviser with twelve US states and territories: Connecticut, the District of Columbia, Florida, Georgia, Idaho, Maryland, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, and Rhode Island.
According to her BrokerCheck report, Wendy Feldman has received one customer complaint and was terminated from Morgan Stanley Smith Barney.
In June 2016 Wendy Feldman was terminated from her position at Morgan Stanley Smith Barney following “allegations involving adherence to industry rules and/or firm policy including with regard to use of trading discretion.”
In July 2015 a customer alleged Wendy Feldman, while employed at Morgan Stanley Smith Barney, effected unauthorized transactions, recommended unsuitable investments, and failed to disclose fees associated with the customer’s accounts. In June 2016 the complaint resulted in an award to the customer of $8,606,599.00.
If you have lost money investing with Wendy Feldman, you may be entitled to recoup your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: Fitapelli Kurta only gets paid if and when you recover money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.