National investment loss lawyers KlaymanToskes is investigating broker Joe Gainer (CRD# 4517367) of Wells Fargo Clearing Services, who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following his refusal to provide on-the-record testimony as requested by FINRA, in connection with the regulator’s investigation into 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.
On June 10, 2022, Gainer voluntarily resigned from his association with Wells Fargo, and the firm filed a Uniform Termination Notice for Securities Industry Registration (Form U5) terminating his registration. On July 13, 2022, Wells Fargo filed an Amended Form U5, reporting that the firm opened an internal review into Gainer’s conduct. On March 27, 2023, Wells Fargo filed a second Amended U5, reporting the results of the firm’s internal review.
According to FINRA BrokerCheck, broker Joe Gainer was registered as a broker with Wells Fargo Clearing Services from 2016 to 2022, in Marianna, FL.
Investors that suffered losses with broker Joe Gainer are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at lawrence@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The articles linked below contain important information relating to KlaymanToskes’ investigation of broker Joe Gainer:
If you suffered losses with broker Joe Gainer, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million* for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
*Exclusive of attorneys fees and costs.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Joe Gainer. These signs could potentially indicate broker misconduct, negligence, or investment fraud. Investors are encourage to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
According to FINRA, brokerage firms such as Wells Fargo Clearing Services are responsible for the supervision of all of the activities of their registered brokers and investment advisors. Investors may be entitled to a financial recovery if their brokerage firm failed to supervise the representative managing their brokerage account, and/or if their broker/advisor made unsuitable investment recommendations.
Engaging the services of an experienced securities attorney to evaluate the specific circumstances of your case is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Joe Gainer, or have concerns regarding your investment portfolio at Wells Fargo Clearing Services, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation to discuss recovery options.