Call Now For a Free Consultation:
(614) 502-6165

Former Questar Capital Corporation Broker Kevin D. Wanner Barred by FINRA

In December 2015, we posted a blog regarding our investigation of former Questar Capital Corporation broker Kevin D. Wanner (CRD# 1402627). In the blog, we discussed how the North Dakota Securities Department issued a cease and desist order against Wanner. Now, Wanner has submitted a Letter of Acceptance, Waiver, and Consent pursuant to the Financial Industry Regulatory Authority (FINRA) Rule 9216.

According the AWC, Wanner failed to provide FINRA with the appropriate documents and information requested. He is also accused of failing to appear for testimony in response to letters issued pursuant to FINRA Rule 8210.

The investigation began after the North Dakota Securities Department’s cease and desist order claiming allegations that Wanner offered and sold a time certificate of deposit to a North Dakota resident. He allegedly misrepresented the use of the funds to the investors stating that they would be deposited with the represented FDIC member financial institutions. Instead, he is accused of depositing the funds into his own personal accounts to use for his expenses.

FINRA’s investigations into the matter resulted in a request for documents and information from Wanner, as well as a request to appear for an on-the-record testimony. When Wanner allegedly failed to follow through by the scheduled dates, he was in violation of FINRA Rules 8210 and 2010.

As a result of the AWC, signed and accepted on January 11, 2016, Wanner has been barred from associating with any FINRA member in all capacities.

If you invested and lost money with Kevin D. Wanner, contact our firm. Our securities fraud attorneys at Meyer Wilson are currently pursuing legal action to help victims of Kevin D. Wanner recover their losses. Schedule your free consultation with our firm today and learn how we can help you.

The information contained in The Firm’s posts on its blog, fraud alerts, investigations or elsewhere on the site is based upon information obtained from other sources including, but not limited to, news outlets and federal, state, and regulatory agency filings. All suspects and subjects of postings herein are presumed innocent until proven guilty in a court of law or administrative action and any and all crimes are alleged until a court or regulatory agency finds otherwise .

Share This Story
If you found the information provided by this article useful, consider sharing to your social media channels to help others in their search for reliable resources.
Consult with Our Legal Team
There is never a cost associated with a consultation
Columbus Office

614-224-6000
305 W. Nationwide Blvd
Columbus, OH 43215
Meyer Wilson
New Orleans Office

900 Camp Street 
Suite 337
New Orleans, LA 70130
Los Angeles Office

310-905-8688
2029 Century Park East,
Suite 400N
Los Angeles, CA 90067
Cleveland Office

216-600-1355
4781 Richmond Rd.
Suite 400
Warrensville Heights, OH 44128
Bloomfield Hills Office

248-817-8214
41000 Woodward Ave.,
Suite 350
Bloomfield Hills, MI 48304
Quick Links
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter. No recipients of content from this site, clients or otherwise, should act or refrain from acting on the basis of any content included in the site without seeking the appropriate legal or other professional advice on the particular facts and circumstances at issue from an attorney licensed in the recipient's state. Read More
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter.
Read More
chevron-down linkedin facebook pinterest youtube rss twitter instagram facebook-blank rss-blank linkedin-blank pinterest youtube twitter instagram