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 firstname.lastname@example.org 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.
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