Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that New York-based JVB Financial Group broker Devin Wicker has been sanctioned by the SEC and named in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wicker (CRD# 4228250).
Devin Wicker has spent 16 years in the securities industry and has been registered with JVB Financial Group in New York, New York since November 2017. Previous registrations include Tribal Capital Markets in Summit, New Jersey (2016-2017); Bonwick Capital Partners in New York, New York (2012-2016); Odeon Capital Group in New York, New York (2010-2012); and Goldman Sachs & Company in New York, New York (2000-2010). He has passed eight securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 13, 2000; Series 87 (Research Analyst Exam – Part II Regulations Module), which he obtained on October 21, 2013; Series 55 (Limited Representative-Equity Trader Exam), which he obtained on May 25, 2011; Series 7 (General Securities Representative Examination), which he obtained on October 23, 2000; Series 4 (Registered Options Principal Examination), which he obtained on June 22, 2011; Series 27 (Financial and Operations Principal Examination), which he obtained on May 3, 2011; Series 53 (Municipal Securities Principal Examination), which he obtained on February 1, 2011; and Series 24 (General Securities Principal Examination), which he obtained on September 17, 2010. He is a registered broker with the state of New York.
According to his BrokerCheck report, Devin Wicker has received one regulatory sanction, one pending customer complaint, and one pending regulatory sanction. He was also discharged from a former employer in connection to alleged rule violations.
In August 2018 he was named respondent in a FINRA complaint in connection to allegations he improperly used and converted a client’s funds for the purposes of paying his firm’s business expenses without that client’s authorization or approval. The complaint remains pending.
In June 2017 FINRA sanctioned him following allegations that as Chief Executive Officer and Chief Compliance Officer of Bonwick Capital Partners, he caused the company’s violations of securities laws regarding the proper calculation and reporting of net capital, as well as the maintenance of books and records. He was issued a cease-and-desist order and a fine of $15,000.
In May 2017 he was terminated from Tribal Capital Markets in connection to allegations he failed to cooperate with an internal investigation and to complete a required continuing education course.
In 2016 a customer alleged Devin Wicker, while employed at Bonwick Capital Partners, misappropriated funds. The customer is seeking $50,000 in damages in the pending complaint.
If you or someone you know has complaints regarding Devin Wicker, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.