Soreide Law Group (888-760-6552) represents clients nationwide before FINRA. The following information was found on FINRA's website in the March 2016 Disciplinary Report.
Kevin D. Wanner (CRD #1402627, Bismarck, North Dakota)
was barred by FINRA for allegedly failing to provide FINRA with documents and information and failing to appear for testimony after FINRA began an investigation into the events leading up to Wanner’s termination from his member firm including, among other things, whether he misappropriated client funds.
FINRA's findings stated that
Kevin D. Wanner's Form U5, stated he had been discharged after the North Dakota Securities Department issued a cease and desist order alleging that he “offered for sale and sold to a North Dakota resident a ‘time certificate of deposit’ purporting to represent an investment in an Federal Deposit Insurance Corporation (FDIC)-insured interest bearing account” and “misrepresented to the investors that their funds would be deposited with the FDIC member financial institutions represented and instead deposited their funds into accounts owned and controlled by him for his own purpose.”
(FINRA Case #2015048162701)
Kevin D. Wanner was in the securities industry for 30 years and some of the firms he was registered with are listed below:
12/2012 - 12/2015 QUESTAR CAPITAL CORPORATION - BISMARCK, ND
08/2010 - 12/2012 WOODBURY FINANCIAL SERVICES, INC. - BISMARCK, ND
12/2006 - 08/2010 QUESTAR CAPITAL CORPORATION - BISMARCK, ND
05/2004 - 12/2006 USALLIANZ SECURITIES, INC. - BISMARCK, ND
10/2002 - 04/2004 RAYMOND JAMES FINANCIAL SERVICES, INC. - ST. PETERSBURG, FL
12/1999 - 11/2002 LM FINANCIAL PARTNERS, INC. - NEW ORLEANS, LA
10/1998 - 01/2000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED - NEW YORK, NY
If you were a client of Kevin D. Wanner and experienced losses due to his recommendations, call Soreide Law Group for a free consultation on the possibility of recovering your financial losses at: 888-760-6552.
