CHARLES WERNIG OF KESTRA INVESTMENT AND VOYA FINANCIAL IS BARRED BY FINRA

ENGLEWOOD, COLORADO Have you lost money investing with Charles Wernig III aka Chip Wernig of Englewood, CO? The securities and investment fraud law firm of Israels & Neuman is investigating allegations made against Charles Wernig, a former representative of Kestra Investment Services. The Colorado Securities Division sought to punish him alleging that he raised money for the 2018 Preferred Loan Program (PLP), 2019 Preferred Loan Program, and Tabeguache Holdings. Colorado further alleges that the money raised for 2018 Preferred Loan Program (PLP), 2019 Preferred Loan Program, and Tabeguache Holdings was done so without the knowledge of his former brokerage firms, Kestra Investment Services and Voya Financial Advisors. Chip Wernig was barred from the securities industry by Colorado.

Charles Wernig aka Chip Wernig was a financial advisor and registered representative of Kestra Investment Services from 2004 to June 2018. He was also with Voya Financial Advisors from June 2018 to March 2019, and worked at branch offices in Englewood and Lakewood, Colorado.

Brokerage firms have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; Phoenix, Arizona; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Colorado. Attorney Aaron Israels is licensed to practice law in Colorado and can set up in-person meetings with investors. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past, including against Kestra Investment Services and Voya Financial Advisors.

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If you lost money with Charles Wernig, Kestra Investment Services, Voya Financial Advisors, 2018 Preferred Loan Program (PLP), 2019 Preferred Loan Program, or Tabeguache Holdings, please CONTACT US at 720-599-3505 for a free evaluation of your case.