Joseph Gordon Cloutier Jr of Frisco Texas a stockbroker formerly registered with Wells Fargo Advisors LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he neglected to provide information to FINRA personnel about his business activities. Case No. 2016051652701 (Mar. 6, 2017).
FINRA Public Disclosure additionally reveals that Cloutier was terminated from Wells Fargo on September 9, 2016 based upon accusations that he solicited a loan from a customer and placed a trade in a customer’s account without obtaining the customer’s consent beforehand.
Additionally, on November 4, 2003, a customer filed an investment related complaint involving Cloutier’s activities where the customer sought $105,000.00 in damages supported by allegations that Cloutier failed to abide by the customer’s instructions and placed transactions in the customer’s account that were not suitable for the customer.
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