Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Paoletti (Paoletti), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paoletti recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $40,000.00 on February 02, 2024.
Executrix alleged, inter alia, that the margin debit balance in the deceased client’s account was not managed in the best interests of the estate while the estate was being settled 2016-2023