In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Investors may have sustained losses involving Chad Dwight Faulkenberry [CRD: 4827957, Winter Springs, Florida], according to FINRA BrokerCheck. Faulkenberry is currently registered with Hightower Advisors LLC and Hightower Securities LLC. He previously worked for Journey Strategic Wealth LLC, Schwab Wealth Advisory Inc., and Charles Schwab Co. Inc. His record includes a regulatory action and client complaints.
On July 28, 2025, the Florida Office of Financial Regulation ordered Faulkenberry to cease and desist and pay a $7,500 administrative fine. The regulator alleged that he provided investment advice from Florida without being properly registered as an associated person of an investment advisory that was federally covered. Faulkenberry neither admitted nor denied the allegations but consented to the order.
A client alleged that Faulkenberry failed to provide advice or recommendations beginning in January 2022, resulting in losses. Charles Schwab Co. Inc. settled the complaint for $5,944.04 on August 15, 2024. Faulkenberry reportedly made no personal contribution.
A second client alleged that Faulkenberry failed to provide advice or recommendations for one account beginning in May 2023. The complaint, received on October 1, 2024, alleged damages in connection with a non-managed account. For this reason, the client requested compensation of $132,000. Charles Schwab Co. Inc. denied the complaint on October 29, 2024.
Did you sustain losses because of Chad Faulkenberry? Contact Soreide Law Group online or call (888) 760-6552 to discuss a possible recovery. The firm represents investors nationwide on a contingency fee arrangement and advances costs. Faulkenberry and the brokerage firms he worked for deny allegations of sales practice violations.
In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Centaurus Financial appears as the firm on a pending customer arbitration against Brett Ewing (CRD 2904608). The customer filed it on September 14, 2026. According to BrokerCheck, the customer alleges that Ewing recommended unsuitable, illiquid investments from February 2016 through February 2019. Ewing denies the allegations, and no arbitrator has ruled.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
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