Advisor Alert: Our Attorneys Are Investigating Wesley Marion Oler IV For Investment Fraud
Did You Lose Money Because of Wesley Oler IV?
Filed: November 2, 2023
Wesley Oler has been the subject of one (1) regulatory event and one (1) termination event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Wesley Marion Oler IV.
Who Is Wesley Marion Oler IV?
- Advisor Name: Wesley Marion Oler IV
- Aliases: Wesley Oler
- CRD: 2631304
- Location: New York, New York State
- Current Employer: No Longer Allowed to Practice in the Securities Industry
- Previous Firms: LPL Financial LLC, NRP Financial, Inc., and Credit Suisse Securities (USA) LLC
- Number of Known Regulatory Event: 1
- Number of Known Termination Event: 1
- Can Wesley Oler IV Be Sued: Yes, in Private Arbitration
- Can Wesley Oler IV’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: Unknown
- Highest Settlement: Unknown
If you have suffered investment losses by Wesley Oler IV, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Wesley Oler IV For Broker Misconduct
As of this publication date, Wesley Oler IV has been the subject of 1 regulatory event and 1 termination event. Let’s review them below.
In November 2016, FINRA initiated a regulatory action against or in reference to Wesley Oler IV for failing to respond to FINRA request for information.
In December 2015, LPL Financial LLC terminated Wesley Oler IV for failing to disclose his role of executor for estate of family member, directed transactions in account of the deceased family member without notifying Firm of client’s death or converting the account following client’s death, and violated Firm’s document signature policy by re-using signatures of deceased client.
How To File A Claim Against Wesley Oler IV (previously with LPL Financial LLC, NRP Financial, Inc., and Credit Suisse Securities (USA) LLC) To Get Your Money Back.
If you have questions about Wesley Oler IV, LPL Financial LLC, NRP Financial, Inc., Credit Suisse Securities (USA) LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.