Charles William Wodrich (also known as Chip Wodrich), of Goodyear, Arizona, a stockbroker registered with Hornor Townsend Kent LLC, is the subject of an enforcement action initiated by Financial Industry Regulatory Authority (FINRA) in which the regulator is seeking sanctions against Wodrich based upon allegations that Wodrich failed to provide documents and information and failed…
Ryan Thomas Fleming of Bellevue, Washington, a stockbroker formerly registered with Hornor Townsend Kent LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $50,000.00 in damages based upon accusations that Fleming made unsuitable recommendations, breached a fiduciary duty, and acted negligently with regard to the recommendation and…