JAMES ROBERT SCHAEDLER JR. CRD#: 4264512 (James Schaedler) has been barred from acting as a broker or otherwise associating with firms that sell securities to the public by the Financial Industry Regulatory Authority (FINRA).
According to FINRA’s report on Schaedler’s BrokerCheck, which is available to the public, without admitting or denying the findings, James Schaedler consented to the sanction and to the entry of findings that he allegedly refused to produce information and documents requested by FINRA during the course of an investigation into allegations that he exercised influence over a former elderly client, who ultimately amended her trust making him a partial beneficiary and the residual beneficiary of her $2.3 million dollar estate.
FINRA’s findings stated that the investigation was later expanded to include allegations that James Schaedler also improperly received a $200,000 gift from a second elderly client.
Also on Schaedler’s BrokerCheck report, it states that he was discharged from WELLS FARGO CLEARING SERVICES, LLC after allegations that his daughter allegedly received funds via check from a client. The majority of those funds were then allegedly received by James Schaedler.
According to FINRA’s BrokerCheck, James Schaedler has two Disclosures on his report, and has spent 16 years in the securities industry and was listed with 4 firms, the most recent:
7/22/2010 - 01/20/2017 WELLS FARGO CLEARING SERVICES, LLC - ANAHEIM, CA
If you or an elderly loved one were a client of James Schaedler, formerly of Wells Fargo Cearing Services of Anaheim, CA, and you experienced losses due to his actions or recommendations, call Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients before FINRA nationwide. We operate on a contingency fee basis. Let our years of experience work for you.
Soreide Law Group is investigating potential investor claims involving Cambridge Investment Research following a FINRA disciplinary action concerning Unit Investment Trust (UIT) recommendations. In April 2026, FINRA censured Cambridge Investment Research after finding supervisory deficiencies involving certain UIT recommendations made to retail clients. Investors who incurred excessive fees, unnecessary costs, or other damages associated with […]
Soreide Law Group is investigating potential investor claims involving Infinity Financial Services after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and recommendations. Investors who incurred surrender charges or other losses in connection with variable annuity transactions recommended through Infinity should review the allegations that led to FINRA's disciplinary action against […]
Soreide Law Group is investigating potential investor claims involving losses in NextGenTech Investments LLC, a private fund managed by Sestante Capital LLC that purported to provide investors with economic exposure to shares of private companies, including Anduril Industries. Recent criminal proceedings involving Sestante Capital's manager have raised significant concerns regarding the offering, the representations made […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com