Former Questar Capital North Dakota Broker, Kevin D. Wanner, Barred by FINRA Over Allegations of Misappropriation

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.

Recent Posts

June 3, 2026

YOUSSEF A ZOHNY of MORGAN STANLEY

YOUSSEF A ZOHNY has been registered both as an investment advisor and a broker with MORGAN STANLEY of San Francisco, California. He has held this registration since March of 2017. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, YOUSSEF A ZOHNY has been in the securities industry for 9 years. He has […]

June 3, 2026

William Kershaw Barred by FINRA

William Kershaw was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 5/15/2026. William Kershaw was registered as a broker with NYLIFE SECURITIES LLC of Charlotte, North Carolina from 12/16/2024 - 07/17/2025. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, […]

June 3, 2026

Michael S Barrows Suspended by FINRA

Michael S Barrows (Michael Scott Barrows) has been suspended by FINRA indefinitely with the start date of 3/27/2026. The Regulator’s Statement was, “Pursuant to FINRA Rule 9553, Respondent Barrows' registration with FINRA is suspended on March 27, 2026, for failure to pay arbitration fees.” Barrows is registered as a broker with INNOVATION PARTNERS LLC of […]

Contact us Nationwide USA

2401 E. Atlantic Blvd., Suite 305, Pompano Beach, FL 33062

Phone: 1-888-760-6552
Fax: 1-954-760-6553
Email: info@securitieslawyer.com

Helping clients recover money across the USA