Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 19, 2018 indicate that Kentucky-based JJB Hilliard WL Lyons broker/adviser William Wobbe is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wobbe (CRD# 2620880).
William Wobbe has spent 22 years in the securities industry and has been registered with JJB Hilliard WL Lyons in Louisville, Kentucky since 1995. He has no previous registrations. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 12, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 16, 1995; and Series 7 (General Securities Representative Examination), which he obtained on July 28, 1995. He is a registered broker and investment adviser with 26 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, the District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Kentucky, Maryland, Massachusetts, Michigan, Missouri, Nevada, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Tennessee, Texas, and Virginia. He is registered with three self-regulatory organizations (SROs): FINRA, NYSE American LLC, and the New York Stock Exchange.
According to his BrokerCheck report, William Wobbe has received one pending customer complaint.
In March 2018 a customer alleged William Wobbe, while employed at JJB Hilliard WL Lyons, executed unauthorized trades and recommended unsuitable investments in oil and gas securities from 2014 until 2016. The customer is seeking more than $330,700 in damages in the pending complaint.
If you have lost money investing with William Wobbe, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.