Scott Thomas Wolfrum of Indianapolis Indiana a stockbroker formerly registered with Huntleigh Securities Corporation is the subject of a customer initiated investment related written complaint which was settled for $449,300.00 on April 9, 2019 based upon accusations that the customer was placed into a private placement without authorization in January of 2018 when Wolfrum was employed by Huntleigh Securities Corporation.
Wolfrum has been referenced in two more customer initiated investment related disputes involving allegations of his violative conduct while employed by Wachovia Securities LLC and Wells Fargo Financial Network LLC. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that a customer filed an investment related complaint involving Wolfrum’s activities where the customer requested $18,000.00 in damages based upon accusations that the customer’s investment instructions were not followed by Wolfrum which resulted in the Wachovia Securities customer’s losses on mutual funds.
Wolfrum is referenced in another customer initiated investment related arbitration claim which was resolved for $10,000.00 in damages supported by allegations that the customer had been concentrated in bad securities during the time that Wolfrum was associated with Wells Fargo Financial Network. The claim alleges that investments sold by Wolfrum were not suitable and had been misrepresented.
Wolfrum was registered with Huntleigh Securities Corporation between January 3, 2018 and September 23, 2019.