Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 8, 2017 indicate that Florida-based Oppenheimer & Company broker/adviser Charles Wallace has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wallace (CRD# 2232489).
Charles Wallace has spent 24 years in the securities industry and has been registered with Oppenheimer & Company in Fort Lauderdale, Florida since 2013. Previous registrations include Morgan Stanley in Miami Beach, Florida; Citigroup Global Markets in Miami Beach, Florida; Wachovia Securities Financial Network in Miami Beach, Florida; Raymond James Financial Services in St. Petersburg, Florida; and Raymond James & Associates in St. Petersburg, Florida. He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 9 (General Securities Sales Supervisor – Options Module Examination); Series 31 (Futures Managed Funds Examination); Series 7 (General Securities Representative Examination); and Series 10 (General Securities Sales Supervisor – General Module Examination). He is a registered broker and investment adviser with ten US states and territories: California, the District of Columbia, Florida, Illinois, Michigan, Minnesota, New York, North Carolina, South Carolina, and Texas.
According to his BrokerCheck report, Charles Wallace has received one pending customer complaint and was discharged from one former employer.
In January 2017 a customer alleged Charles Wallace, while employed at Morgan Stanley Smith Barney, executed excessive transactions in exchange traded funds and equity listed products. The customer is seeking unspecified damages in the pending complaint.
In 2013 Charles Wallace was terminated from his position at Morgan Stanley Wealth Management following allegations he “made inaccurate statements to an annuity company regarding a client’s whereabouts.”
If you have complaints regarding Charles Wallace, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.