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.
Soreide Law Group is investigating potential investor claims involving J.P. Morgan Securities LLC (JPMS) after FINRA sanctioned the firm over supervisory failures involving a high-risk, leveraged investment strategy. Investors who suffered losses through this strategy may have legal options and should read below for details about FINRA's action against J.P. Morgan Securities. What Was The […]
Investors potentially incurred losses because of securities broker Christina Leanne Benton (also known as Christina Leann Benton and Chrissy Benton) [CRD: 7141536, Grass Valley, California], given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benton worked for Wells Fargo Clearing Services LLC from August 2019 to April 2021. She has been associated […]
Investors may have suffered financial harm by securities broker Michael Giordano (also known as Mike Giordano) [CRD: 5352775, Red Bank, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Giordano has been registered with Charles Schwab Co. Inc. since March 30, 2021, and previously worked for Ameriprise Financial Services LLC in Hauppauge, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com