Wayne Anthony Schultz– Failure to Provide Information and Documents

investment fraud attorney ClevelandWayne Anthony Schultz Suspended by FINRA for Failing to Provide Documents Connected with Sale of Notes to Elderly Client

Wayne Anthony Schultz allegedly failed to provide information and documents as requested during the course of a FINRA investigation into certain notes that Schultz had issued to an elderly client, according to a recent Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and Joe Peiffer.

Wayne Anthony Schultz, starting on August 20, 2015, received a letter from FINRA declaring the start of an investigation into certain notes that Schultz had allegedly issued to an elderly client, the AWC notes, and requested that Schultz provide certain documents and information to FINRA staff on or before September 4, 2015.

The Peiffer Rosca Wolf securities lawyers are currently investigating Wayne Anthony Schultz, and investors may contact the firm.

Wayne Anthony Schultz Allegedly Received Multiple Requests from FINRA to Provide Documents Regarding a FINRA Investigation

Wayne Anthony Schultz, On October 7, 2015, received a second letter from FINRA, yet Schultz again allegedly indicated that he would not provide the requested documents and information, and indeed purportedly failed to provide the requested documents and information, according to the aforementioned AWC presently being reviewed by attorneys Alan Rosca and Joe Peiffer.

As a result of Schultz’s alleged failure to provide documents, he violated FINRA Rules, and hence, has been barred by FINRA, the AWC reports.

One should also note that, according to the AWC, Wayne Anthony Schultz neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of investment schemes, and are currently investigating Wayne Anthony Schultz’s alleged investment scheme. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Wayne Anthony Schultz’s alleged note sale scheme may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1159 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.