National investment loss lawyers KlaymanToskes is investigating broker Charles Wodrich a/k/a Chip Wodrich of Hornor, Townsend & Kent (CRD #2715728).
According to FINRA Public Disclosure, Charles “Chip” Wodrich of Hornor, Townsend & Kent was barred by FINRA in December 2024 for failing to cooperate with the regulator’s investigation into allegations of unsuitable recommendations to a senior customer, unauthorized discretionary trading, and using an unmonitored personal email address for client communications.
Investors that suffered losses with broker Charles Wodrich are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Charles “Chip” Wodrich was barred by the Financial Industry Regulatory Authority (FINRA) on December 12th, 2024. Wodrich’s FINRA BrokerCheck report discloses that he was registered with Hornor, Townsend & Kent, LLC in Goodyear, AZ from December 2013 to August 2022, and previously with Brokers International Financial Services, LLC from July 2011 to December 2013.
FINRA’s findings state that Wodrich failed to produce requested documents and information related to its investigation concerning recommendations provided to a senior customer. The investigation focused on account discretion without written authorization and the use of a personal email address for client communications.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Charles Wodrich, or have concerns regarding your investment portfolio at Hornor, Townsend & Kent, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.