The Hanley Law (239) 649-0050 recently discovered that according to FINRA’s Disciplinary and Other FINRA Actions publication, Charles Caleb Fackrell (CRD #5369665) allegedly converted customer funds and sold private securities offerings away from his brokerage firm, without the firm’s approval. FINRA further alleged that Fackrell failed to cooperate with FINRA’s investigation by not providing requested documents and information. (See FINRA AWC No. 20140437052).
According to FINRA’s Broker Check, Fackrell has been permanently barred by FINRA from acting as a broker or otherwise associating with firms that sell securities to the public.
Charles Caleb Fackrell was registered in the securities industry for six (6) years with the following member firm(s):
LPL FINANCIAL, LLC
CRD #6413
YADKINVILLE, NC
06/2010 – 12/2014
WELLS FARGO ADVISORS, LLC
CRD #19616
HIGH POINT, NC
12/2009 – 06/2010
SUNTRUST INVESTMENT SERVICES, INC.
CRD #17499
YADKINVILLE, NC
07/2008 – 12/2008
MORGAN STANLEY & CO., INC.
CRD #8209
WINSTON-SALEM, NC
08/2007 – 02/2008
If you have suffered losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors who have been victims of securities fraud. If you have been a victim of securities fraud, you may be entitled to recover your financial losses. Contact the Hanley Law toll free at (239) 649-0050 for a complimentary initial consultation.