In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Soreide Law Group obtained the following information from FINRA’s June 2017 Disciplinary Report:
Todd Michael Schoenwalder (CRD #2005038, Brookfield, Wisconsin)
was assessed a deferred fine of $15,000 and suspended by FINRA for 15 months for allegedly engaging in a pattern of check kiting by depositing checks totaling $171,700 into two personal checking accounts, drawn from an account he owned at another bank, allegedly knowing that the originating account did not hold sufficient funds to honor the checks.
FINRA’s findings stated that Schoenwalder allegedly circumvented his member firm’s supervisory system by accepting and failing to disclose a $50,000 cash gift from a firm client in violation of the firm’s policies, which prohibited receipt of gifts above $100 from clients.
The suspension is in effect from April 17, 2017, through July 16, 2018.
(FINRA Case #2016050212901)
According to FINRA’s BrokerCheck, Schoenwalder was discharged by JP Morgan Securities due to the allegations. Todd Michael Schoenwalder, has been in the securities industry for 15 years and was listed with 8 firms, the most recent below:
05/28/2013 - 06/02/2016 J.P. MORGAN SECURITIES LLC - MILWAUKEE, WI
07/27/2006 - 06/10/2013 ASSOCIATED INVESTMENT SERVICES, INC. - MENOMONEE FALLS, WI
If you experienced financial loss due to the actions or recommendations of former JP Morgan Securities of Milwaukee broker, Todd Michael Schoenwalder, call Soreide Law Group and speak to a securities lawyer regarding the possible recovery of your investment losses at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis. Let our experience work for you.
In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Centaurus Financial appears as the firm on a pending customer arbitration against Brett Ewing (CRD 2904608). The customer filed it on September 14, 2026. According to BrokerCheck, the customer alleges that Ewing recommended unsuitable, illiquid investments from February 2016 through February 2019. Ewing denies the allegations, and no arbitrator has ruled.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
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