Joseph Manuel Focil, of Santa Monica, California, a stockbroker formerly registered with Wells Fargo Advisors, LLC, has been named in a customer initiated investment related written complaint on January 6, 2016, in which the customer requested more than $5,000.00 in damages based upon allegations that Focil failed to execute the sale of the customer’s equity investment in accordance with the customer’s instructions.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on December 16, 2015, a customer initiated investment related written complaint involving Focil’s conduct was settled for $63,319.80 in damages based upon allegations that Focil did not change the portfolio management associated with the customer’s managed account as the customer instructed.
Focil’s registration with Wells Fargo Advisors, LLC was terminated on September 30, 2015. Since June 1, 2016, he has been registered with Wedbush Securities Inc.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
