Charles William Wodrich

05/30/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles William Wodrich CRD No. 2715728, Respondent. Disciplinary Proceeding No. 2022075322601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Charles Wodrich failed to provide information and documents, and appear for on-the-record testimony, that FINRA requested pursuant to FINRA Rule 8210 as part of an investigation into whether Wodrich made recommendations that were against his customer’s best interests, provided misleading information to that customer, exercised discretion without written authorization in customer accounts, and used a personal email account that was not approved by his member firm to conduct a securities business. By failing to provide the requested information, documents, and testimony, Wodrich violated FINRA Rules 8210 and 2010.

12/12/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES WILLIAM WODRICH (CRD No. 2715728), Respondent. Disciplinary Proceeding No. 2022075322601 Hearing Officer–CC DEFAULT DECISION December 12, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documents and failing to appear for on-the-record testimony, as requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010.

Reference 2022075322601data-portal.finra.orgdata-portal.finra.orgfinra.org