RedFlag, Allegation and/or Complaint against James Michael Wuest
Disclosure #1 for James Wuest
-
- Event Date: 1/30/2011
- Disclosure Type: Criminal
- Resolution: Final Disposition
- Criminal Charges :: Charges: Aggravated DWI, refusal to submit
- Disposition: Reduced
- Amended Charges: Careless Driving (Careless, Inattentive, or Imprudent)
- Amended Charge Type: MISDEMEANOR
- Amended Charge Disposition: Convicted
- Broker Comment: The charges were related to a moving violation and were ultimately dismissed and reduced after being charged with a felony, and two misdemeanors. All conditions of the reduced charges were complete by 02/2012.
Should I file a FINRA complaint against brokers like James Michael Wuest?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Frequently Asked Questions About James Michael Wuest
What is James Wuest's Central Registration Depository (CRD) Number?
Which firm is James Michael Wuest associated with?
Where is James Wuest located?
Where can I find more details about James Wuest's Investment Firm?
Are there any disclosures, allegations or complaints filed against James Michael Wuest?
Where can I download a detailed FINRA report for James Wuest?
Is it safe to do business with James Michael Wuest?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.
Originally reported on November 17, 2022 @ 8:43 pm
