Regulatory Alerts2026-06-23
Added · Updated
Wingert Investment Management, LLC Stephen A. Wingert
Wingert Investment Management, LLC failed to maintain the required minimum net worth of $35,000 while holding custody of client funds or securities from January 2022 through December 2025. The entity also failed to promptly notify the Department in writing on Form ADV regarding its custody status. These violations provide grounds to deny, suspend, revoke, or condition the firm's registration or to censure it under Section 305(a)(v) of the 1972 Act.
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