Published On: October 14, 2015

Stoltmann Law Offices is investigating Tracy Wengert, who is not licensed to act as a broker or investment adviser, according to the Financial Industry Regulatory Authority (FINRA). His BrokerCheck report states that he allegedly misrepresented material facts related to an investment, place unsuitable and high-risk trades, managed client accounts on a discretionary basis without approval or oversight through another broker-dealer, breached fiduciary duty, mischaracterized losses and attempted to settle away from his member firm, among other transgressions. These are all against securities rules and regulations.

Tracy Neal Wengert was registered with WMA Securities in Duluth, Georgia from February 1999 until April 2002, World Group Securities in Mesa, Arizona from April 2002 until January 2012 and Transamerica Financial Advisors in Mesa from January 2012 until February 2015. He has four customer disputes against him, three of which are currently pending. He is not licensed within the industry. If you suffered losses with Tracy Wengert, his former firm, Transamerica, may be responsible for your losses. Please call our securities law firm at 312-332-4200 to speak to an attorney. We may be able to Transamerica in the FINRA arbitration process to recover your money losses. The call is free with no obligation.

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