Los Angeles, CA – November 22, 2025 – Chetan Patil of Patil Law, P.C., a securities fraud attorney, is investigating William Henry VanPelt IV (CRD# 1716622), a broker currently registered with Ridgeback Securities, Ltd. According to FINRA records, VanPelt was terminated by The Baldwin Group Wealth Advisors, LLC in September 2025 for allegedly failing to comply with the firm’s Code of Business Conduct and Ethics policy, which requires employees to act with honesty and integrity and protect company assets against loss, theft, or other misuses.
In September 2025, The Baldwin Group Wealth Advisors terminated VanPelt’s registration. According to the firm’s disclosure, VanPelt allegedly failed to perform services in accordance with all applicable laws and in compliance with Baldwin’s company policies, including specifically its Code of Business Conduct and Ethics policy. This policy requires persons to act with honesty and integrity and in full compliance with all applicable laws, rules, and regulations, and to protect company assets against loss, theft, or other misuses. VanPelt’s broker statement indicated the matter was previously disclosed to the firm by the representative at the time of discharge notification.
According to FINRA records, William Henry VanPelt IV has 38 years of experience in the securities industry. Based in Houston, Texas, he has been registered with Ridgeback Securities, Ltd since September 2002, serving as Director, President, and Chief Compliance Officer. His previous registrations include The Baldwin Group Wealth Advisors (October 2024 – September 2025), BKS Retirement Services (October 2021 – October 2024), Emergent Capital Advisors (October 2020 – March 2022), First Heartland Capital (February 2016 – October 2016), American General Securities (multiple periods from 1992-2000), Advantage Capital Corporation (September 1993 – December 1994), Portfolio Asset Management/USA Financial Group (February 1992 – November 1993), and Capital Analysts, Incorporated (November 1987 – January 1992). VanPelt holds 18 state licenses and has passed the Series 7, Series 14, Series 24, Series 27, Series 63, Series 99TO, and SIE examinations. VanPelt holds the Chartered Financial Consultant professional designation and operates multiple investment-related businesses including The Mid-Continent Companies, Ltd., and Insurance Underwriting Services, LLC.
Patil Law, P.C. is currently investigating claims on behalf of investors who may have been affected by alleged policy violations or broker misconduct. Our firm has over 15 years of experience representing investors in FINRA arbitration and securities litigation, with more than $25 million recovered for clients across 1,000+ cases.
We provide a free, confidential consultation to review your potential claim. Our firm works on a contingency fee basis, meaning you pay no attorney fees unless we successfully recover money for you. We represent individual investors and families nationwide.
If you invested with William VanPelt or have concerns about alleged compliance violations or failure to supervise, you may be entitled to compensation. However, time is limited—FINRA arbitration claims generally must be filed within six years of the incident.
Contact Patil Law, P.C. today at 800-950-6553 or email info@patillaw.com for a free case evaluation. Don’t let time run out on your right to recover your losses.
The information in this post is based on FINRA BrokerCheck records and public filings. Allegations described are pending or unproven and may be contested. All investors are entitled to fair treatment under securities laws. This is attorney advertising. Prior results do not guarantee a similar outcome. This communication is for informational purposes only and does not create an attorney-client relationship.
