JOSEPH BRUCE PIENKOS

JOSEPH BRUCE PIENKOS is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1337 COMMERCIAL WAY, SPRING HILL, FL, 34606.

JOSEPH BRUCE PIENKOS has worked at WELLS FARGO CLEARING SERVICES, LLC since February 25, 2010

Disclosure History

JOSEPH BRUCE PIENKOS has 2 Disclosure Event(s).

Date: September 27, 2013
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT FA REPRESENTED THAT BOND INVESTMENT COULD NOT LOSE VALUE. (5/2/13 - 6/21/13)

Date: November 23, 2010
Category: Customer Dispute
Allegations: THE CLIENTS' ATTORNEY ALLEGES LACK OF SUITABILITY OF A HARTFORD FLOATING RATE BOND FUND PURCHASED IN A MANAGED ACCOUNT.
Damage Amount Requested: $95,000.00
Settlement Amount: $45,000.00
Broker Comment: FINANCIAL ADVISOR BELIEVES THAT THE RECOMMENDATIONS MADE TO THE CLIENT WERE APPROPRIATE BASED UPON THE CLIENT'S RISK TOLERANCE AND TIME HORIZON. THE CLIENT WAS VERY COMFORTABLE WITH THE SOLUTION AT THE TIME OF THE TRADE.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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