Edward Barnett Woll, of Atlanta, Georgia, a chief compliance officer of J.P. Turner & Company, LLC, has been named in a customer initiated investment related arbitration claim on April 18, 2017, in which the customer requested $69,768.00 in damages based upon allegations that he failed to supervise a stockbroker, Dennis Salerno, who effected trades in the customer’s account on an excessive and unsuitable basis. The customer further alleged that Woll and the firm did not provide the customer with protection against Salerno’s abusive sales practices and mishandling of the customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Woll has been identified in two additional customer initiated investment related disputes containing allegations of his misconduct while employed with J.P. Turner & Company, LLC. Particularly, on November 18, 2016, a customer filed an investment related arbitration claim involving Woll’s conduct, based upon allegations including the failure to appropriately undertake due diligence and properly disclose investment information to customers before making private fund and oil & gas investment recommendations.
Subsequently, on December 2, 2016, a customer filed an investment related arbitration claim regarding Woll’s activities, wherein the customer requested $60,000.00 in damages based upon allegations that he failed to supervise a stockbroker, Jesse Goldthwaitie, who made unsuitable investment recommendations to the customer, omitted information concerning municipal debt investments, and negligently handled the customer’s investment portfolio.
Woll’s registration with J.P. Turner & Company, L.L.C. was terminated on March 9, 2016. Since April 12, 2016, Woll has been associated with The Strategic Financial Alliance, Inc.
Guiliano Law Group
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