One or more investors possibly experienced losses because of securities broker Chad Dwight Faulkenberry [CRD: 4827957, Orlando, Florida], according to publicly available information on FINRA BrokerCheck. Evidently, Faulkenberry worked for Charles Schwab Co. Inc. from July 14, 2014, to June 13, 2024. Read on to learn more about Faulkenberry’s disclosures.
Notably, on July 28, 2025, the Florida Office of Financial Regulation issued Case: 130337-SR sanctioning Chad Faulkenberry. Specifically, Faulkenberry was ordered to cease and desist and to pay a $7,500 fine. Evidently, the Florida Office of Financial Regulation alleged that Faulkenberry rendered investment advice from within Florida without being properly registered as an associated person of a federal covered adviser. According to the regulatory filing, the Office entered a Final Order adopting a Stipulation and Consent Agreement. The order stated that Faulkenberry violated section 517.12(3) of the Florida Statutes.
Also, a client of Charles Schwab Co. Inc. contested Chad Faulkenberry’s sales practices, based on a complaint. Allegedly, Faulkenberry caused the client to lose money. As a result, Charles Schwab Co. Inc. opted to settle the matter on August 15, 2024, by compensating the client in the amount of $5,944.04.
Particularly, on October 1, 2024, a Charles Schwab Co. Inc. client filed a complaint about Chad Faulkenberry. Mainly, the client alleged that Faulkenberry neglected to advise the client, causing them to incur damages in fee-based accounts. Therefore, the client requested $132,000 in compensation from Charles Schwab Co. Inc. or Faulkenberry. However, the firm denied this complaint.
Did you experience losses because of Chad Faulkenberry? You should contact Soreide Law Group at (888) 760-6552 or online and talk with a securities lawyer concerning a potential recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for investors throughout the country. The firm also takes cases by a contingency fee arrangement and advances all costs. Faulkenberry and brokerage firms Faulkenberry worked for deny accusations of sales practice violations.
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