Tag Archives: David K. Mallett

Wunderlich Stockbroker Barred In Investigation

David K. Mallett of Conway Arizona a stockbroker formerly registered with Wunderlich Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that Mallett disregarded a FINRA inquiry possibly concerning Mallett being discharged from Wunderlich Securities Inc. or Mallett being subject of customer initiated […]

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Wunderlich Securities Stockbroker Suspended By Regulator

April 10, 2017  |   Posted by :   |   Bond Fraud   |   0 Comments

David K. Mallett, a stockbroker formerly registered with Wunderlich Securities, Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to respond to FINRA personnel’s information request. Letter No. 2015047762601 (Feb. 3, 2017). FINRA Public Disclosure reveals that on December 8, 2015, […]

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