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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.

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