Did You Lose Money Because of Joe Gainer?
Filed: January 30, 2024
Joe Gainer has been the subject of one (1) regulatory event and one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Joe David Gainer Jr.
Who Is Joe David Gainer Jr?
- Advisor Name: Joe David Gainer Jr
- Aliases: Joe Gainer
- CRD: 4517367
- Location: Marianna, Florida
- Current Employer: No Longer Allowed to Practice in the Securities Industry
- Previous Firms: Wells Fargo Clearing Services, LLC, Suntrust Investment Services, Inc., and Hancock Investment Services, Inc.
- Number of Known Customer Complaints: 1
- Number of Known Regulatory Events: 1
- Can Joe Gainer Be Sued: Yes, in Private Arbitration
- Can Joe Gainer’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $221,630
- Highest Settlement: Unknown
If you have suffered investment losses by Joe Gainer, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Joe Gainer For Broker Misconduct
As of this publication date, Joe Gainer has been the subject of 1 regulatory event and 1 customer dispute. Let’s review them below.
In December 2023, FINRA initiated a regulatory action against or in reference to Joe Gainer for refusing to appear for on-the-record testimony requested by FINRA in connection with its investigation into the internal review disclosed on an amended Form U5 filed by his member firm. The findings stated that FINRA’s investigation related to whether Gainer failed to disclose a position of trust in relation to, and receiving a $3 million dollar gift from, one of his firm clients.
In September 2020, a complaint was filed against or in reference to Joe Gainer by a customer of Wells Fargo Clearing Services, LLC alleging that Mr. Gainer recommended an investment that was aggressive for the client’s age. Per the customer, he/she lost over $221,630 because of Mr. Gainer’s actions.
How To File A Claim Against Joe Gainer (previously with Wells Fargo Clearing Services, LLC, Suntrust Investment Services, Inc., and Hancock Investment Services, Inc.) To Get Your Money Back
If you have questions about Joe Gainer, Wells Fargo Clearing Services, LLC, Suntrust Investment Services, Inc., Hancock Investment Services, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.
