Public records provided by the Financial Industry Regulatory Authority (FINRA) on September 28, 2016 indicate that Pennsylvania-based ON Equity Sales Company broker Richard Wesselt has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wesselt (CRD# 2195569).
Richard Wesselt has spent 24 years in the securities industry and has been registered with the ON Equity Sales Company in Collegeville, Pennsylvania since 2014. Previous registrations include Sterne Agee Financial Services in Jeffersonville, Pennsylvania; American Investment Services in Oklahoma City, Oklahoma; WS Griffith & Company in Hartford, Connecticut; and PML Securities Company in Newark, Delaware. He is a registered broker and investment adviser with eighteen US states and territories: California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Illinois, Iowa, Kansas, Maryland, Minnesota, New Jersey, New York, North Carolina, Pennsylvania, Texas, and Washington.
According to his BrokerCheck report, Richard Wesselt has received two customer complaints and one pending customer complaint, and was discharged from his position at WS Griffith & Company.
In August 2016 a customer alleged Richard Wesselt, while employed at the ON Equity Sales Company, sold an unsuitable variable annuity and an unsuitable life insurance product. The customer is seeking damages exceeding $25,000 in the pending complaint.
In 1997 Richard Wesselt was terminated from his position at WS Griffith & Company following allegations he placed a customer’s signature on a document, in violation of firm policy.
If you have complaints regarding Richard Wesselt, call the securities and investment fraud law firm 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.