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.
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 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 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.