John Joseph Pearce of Cincinnati Ohio is a stockbroker formerly employed by Fifth Third Securities who was terminated from employment on December 16, 2016 supported by accusations that the firm was not confident in Pearce’s ability to comply with the firm’s policies and procedures.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that this is not the first time that Pearce has been terminated from a brokerage firm based on accusations of misconduct. Particularly, on April 14, 1998, Pearce was fired from his prior employer, PNC Brokerage Corp., founded on accusations that he failed to abide by the trading and commission policies of the firm.
Pearce has also been subject of a customer initiated investment related written complaint which was settled on March 18, 2009 to resolve allegations that while Pearce was associated with Natcity Investments, Inc., he made unsuitable recommendations to the customer in regard to mutual fund investments.
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