DID WYLIE THOMPSON EWING CAUSE YOU INVESTMENT LOSSES?
Wylie Ewing was fired from Charles Schwab & Co., Inc. in October 2024 following allegations of noncompliance with the firm’s Client Communication policy
Who is Wylie Ewing formerly with Charles Schwab & Co., Inc.?
Wylie Ewing (CRD #1844204) who was formerly registered as a broker with Charles Schwab & Co., Inc. and located in Denver, Colorado, is a subject of one of our many securities industry sales practice abuse investigations
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Wylie Ewing Employment History and Termination
Wylie Thompson Ewing has a career spanning over 35 years in the securities industry, having been a registered broker with multiple prominent firms including TD Ameritrade, Fidelity Brokerage Services, and E*TRADE. He was most recently employed by Charles Schwab & Co., Inc. from August 2021 until October 2024.
Ewing has passed seven industry exams, including three principal/supervisory exams and two multi-state securities law exams. Despite his extensive experience. He is currently not registered.
His tenure with Charles Schwab & Co. Inc. ended on October 29, 2024, following allegations of failing to comply with internal procedures regarding advice and client communications.
Negative Disclosures Summary
Wylie Thompson Ewing has one reported disclosure:
- Termination
- Date: October 29, 2024
- Employer: Charles Schwab & Co., Inc.
- Details: Terminated for allegedly failing to consistently comply with the firm’s Advice Procedures and Client Communication policy. No specific product was involved in the allegations.
Wylie Ewing Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Wylie Ewing is a red flag which should put all current and former customers of Wylie Ewing at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Wylie Ewing engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Charles Schwab & Co., Inc. Due To Wylie Ewing
If you have questions about Charles Schwab & Co., Inc. and/or Wylie Ewing and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
Rate this Post
Loading...