Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wilcheck (Wilcheck), previously associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one tax lien, alleging that Wilcheck recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on December 09, 2024.
Violated section 517.121(1), (2) and (3), Florida Statutes, by failing to provide to the Office the identified records required to be maintained by Rule 69W-600.014, Florida Administrative Code, after written requests by the Office.
