Joe Don Treece, of Bentonville, Arkansas, has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) in any capacity based upon allegations that Treece failed to provide a response to a FINRA investigatory request, or otherwise comply with a settlement agreement or an arbitration award. Case No. 12-00453 (Dec. 1, 2016).
FINRA Public Disclosure reveals that Treece has been previously suspended by FINRA based upon allegations that Treece failed to provide a response to FINRA’s request for information. Case No. 2015048160501 (Oct. 18, 2016).
Further, on December 8, 2015, Treece was terminated from Arvest Wealth Management based upon allegations that a customer filed a complaint involving Treece’s conduct. The customer reportedly claimed that Treece converted the customer’s assets, breached his fiduciary duty to the customer, generated excessive commissions, and committed fraud in connection with investment advisory and brokerage services which Treece provided.
Guiliano Law Group
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