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Financial advisor George Puliafico customer complaints

Raymond James Financial Advisor, George Puliafico, Has a Disclosed Customer Complaint

George Puliafico is a Financial Advisor at Raymond James in Walpole, Maine. George Puliafico has been in the securities industry since the 1980s and has been with Raymond James since 1999.

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), April 2018, a customer filed a complaint against George Puliafico, alleging “Negligence, Breach of Fiduciary Duty, Negligent Supervision & Breach of Contract.” The alleged damages are $2 million and the matter was settled for $97,500.

A For a full copy of George Puliafico’s FINRA disclosure report, click https://brokercheck.finra.org/individual/summary/1158596

Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

If you or someone you know was a customer George Puliafico and you experienced investment losses, please contact the Wolper Law Firm at 800.931.8452 or by email at mwolper@wolperlawfirm.com to discuss your specific situation and the legal options available. The Wolper Law Firm represents investors nationwide in securities litigation and arbitration.

Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities. Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.

Raymond James Financial Advisor, George Puliafico, Has $2 Million Customer Complaint

The Wolper Law Firm is currently investigating claims against George Puliafico, a Financial Advisor at Raymond James in Walpole, Maine.  George Puliafico has been in the securities industry since the 1980s and previously worked for Robert Thomas Securities, Smith Barney and Lehman Brothers.

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 17, 2008, a customer filed a $2 million complaint against George Puliafico for “negligence, breach of fiduciary duty, negligent supervision and breach of contract.”  The matter remains pending.

https://brokercheck.finra.org/individual/summary/1158596#disclosuresSection

Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives.  Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients.  To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

If you or someone you know was a customer of George Puliafico, and you experienced investment losses, please contact the Wolper Law Firm at 800.931.8452 or by email at mwolper@67.43.6.64 to discuss your specific situation and the legal options available.  The Wolper Law Firm represents investors nationwide in securities litigation and arbitration.

Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyers who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities.  Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.  Simply put, he knows how the other side evaluates cases, which gives you a competitive advantage.

Attorney Matthew Wolper

Attorney Matthew WolperMatt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks. [Attorney Bio]