Investors apparently complained about securities broker Christopher Wayne Dunlevy [CRD: 4909656, Flagstaff, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dunlevy has worked for Aspen Trail Wealth Management LLC since July 22, 2015. Keep reading to learn more about Dunlevy’s client dispute disclosures.
Particularly, a client filed a complaint about Christopher Dunlevy. Mainly, the client alleged mismanagement of the client’s fixed annuities in January 2023. Because of this, the client allegedly sustained damages. As a result, on March 5, 2024, Aspen Trail Wealth Management settled this matter by paying the client $185,000.
Specifically, a client of Aspen Trail Wealth Management contested Christopher Dunlevy’s sales practices by filing Civil Action No. CV2022-090466. Allegedly, Dunlevy made an unsuitable recommendation and failed to disclosure information to the client. It appears that Dunlevy caused the client to sustain damages in connection with index options. Consequently, Aspen Trail Wealth Management opted to settle the matter on October 21, 2022, by compensating the client in the amount of $100,000. Dunlevy denied the allegations and stated that the matter was settled based on the cost of defense.
Do you need guidance on any investment losses relating to Christopher Dunlevy? Get in touch with Soreide Law Group at (888) 760-6552 or online and speak with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the US. Also, our securities lawyers handle cases on a contingency fee basis and advance all costs. Dunlevy and the brokerage firms Dunlevy worked for deny allegations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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