(CRD #4531762, Stamford, Connecticut)

March 26, 2025 – An Order Accepting Offer of Settlement was issued in which Wenham was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for three months. Without admitting or denying the allegations, Wenham consented to the sanctions and to the entry of findings that he falsified firm records when he concealed unrealized losses by recording or causing to be recorded inaccurate marks for forward start reverse repurchase positions in his member firm’s electronic recordkeeping system. The findings stated that as a result of Wenham’s inaccurate marks, his firm’s books and records reflected a combined value for the positions that was overstated by millions of dollars. Wenham’s firm discovered the inaccurate marks and implemented an automated process for marking the positions. After implementing the automated marking system, the firm’s marks for the positions showed a combined net present value of approximately negative $9,000,000. The suspension is in effect from March 31, 2025, through June 29, 2025. (FINRA Case #2022073296301) If you have suffered losses as a result of Anthony Neil Wenham's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Anthony Neil Wenham. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.