Christopher Wurtzinger Suspended by FINRA and Subject of a Customer Complaint

Christopher Wurtzinger (CRD #: 1921024), a broker registered with American Trust Investment Services and an investment adviser registered with Sorsby Financial Corporation, was recently suspended by the Financial Industry Regulatory Authority (FINRA).  Christopher Wurtzinger is also the subject of a client dispute regarding account churning, unauthorized trading, fraud, and breach of fiduciary duty, according to his BrokerCheck record, accessed August 19, 2020. Do you have questions about Christopher Wurtzinger’s conduct as a broker? Keep reading to learn more.

On June 18, 2020, Christopher Wurtzinger entered into an Acceptance, Waiver, and Consent agreement with FINRA wherein he consented to the findings that he failed to conduct a reasonable analysis into whether he engaged in an outside business activity, or whether it should be treated as an outside securities activity. Christopher Wurtzinger consented to a suspension of four weeks, beginning on July 20, 2020, and ending on August 16, 2020. Christopher Wurtzinger has submitted a sworn financial statement and demonstrated an inability to pay, and in light of his financial status, FINRA has not imposed a monetary sanction. A copy of Christopher Wurtzinger’s AWC can be viewed here.

On August 23, 2017, a client alleged that Christopher Wurtzinger had engaged in churning, unauthorized trading, fraud, and breach of fiduciary duty. The client is seeking $5,001 in damages; the dispute is pending.

These are not the only disclosures on Christopher Wurtzinger’s BrokerCheck record.

On February 18, 2010, Christopher Wurtzinger was discharged from his position at NDX Trading following allegations that he was actively shopping NDX Trading customer information and business to another FINRA registered broker-dealer without the firm’s consent. The firm further alleges that Christopher Wurtzinger has refused to cooperate and return customer information.

On June 19, 2008, Christopher Wurtzinger was discharged from his position at OneAmerica Securities, Incorporated following allegations that he provided an inaccurate response on a home office background pre-hire document.

On September 12, 2007, Christopher Wurtzinger consented to the entry of Illinois’ findings that as the Chief Compliance Officer for Traderight Securities, Incorporated, he failed to cause Traderight to amend the Form U4 salesperson applications of four employees to reflect that all four were managing members of another business, as required by Question 13 of Form U4.

Christopher Wurtzinger has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Series Industry Essentials Examination, the General Securities Representative Examination, and the Series 24 General Securities Principal Examination. Christopher Wurtzinger is a registered broker and an investment adviser in Illinois.

In his 25-year career, Christopher Wurtzinger has worked for 18 firms:

  • First Illinois Securities Incorporated (CRD #: 19067)
  • Avellino Financial Advisors, Incorporated (CRD #: 164805)
  • Forest Securities, Incorporated (CRD #: 16255)
  • Birkelbach Investment Securities, Incorporated (CRD #: 11490)
  • Chicago Investment Group Advisors, LLC (CRD #: 148188)
  • Chicago Investment Group LLC (CRD #: 11853)
  • NDX Trading, Incorporated (CRD #: 39940)
  • Traderight Securities, Incorporated (CRD #: 45598)
  • OneAmerica Securities, Incorporated (CRD #: 4173)
  • Fortia Asset Management, LLC (CRD #: 132133)
  • G. Edwards & Sons, Incorporated (CRD #: 4)
  • J Fox Investments, LLC (CRD #: 34764)
  • Ajax Investments, LLC (CRD #: 31799)
  • Peregrine Financials & Securities (CRD #: 43992)
  • Birkelbach Investment Securities, Incorporated (CRD #: 11490)
  • Access Financial Group, Incorporated (CRD #: 33065)
  • Rodman & Renshaw, Incorporated (CRD #: 724)

If Christopher Wurtzinger was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for your free case consultation with a securities attorney.

 

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