What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: January 24, 2017

Did you lose money with Joe Don Treece, a broker with Raymond James in Rogers, Arkansas? If so, we are securities attorneys who may be able to help you recover those losses by bringing an arbitration claim against Raymond James in the Financial Industry Regulatory Authority (FINRA) forum on a contingency fee basis. We sue firms such as Raymond James to help investors recover their losses, as the firm or former firm of a broker can be held liable for the actions of that broker. Call us today at 312-332-4200 to discuss your options with an attorney. The call is free with no obligation.

Joe Don Treece was accused of alleged breach of fiduciary duty, fraud, embezzlement and conversion by a client of Arvest Wealth Management, where Treece was registered previously. The client alleged that Treece executed multiple identical buy/sell transactions in the client’s prior accounts at other brokerage firms to generate excessive brokerage commissions. This is against securities rules and regulations and Treece was suspended in November 2016 from associating with any FINRA member firm in any capacity.

Treece was registered with Pruco Securities, A.G. Edwards & Sons, Wachovia Securitites, Morgan Stanley, Raymond James in Rogers, Arkansas from August 2011 until June 2013 and Arvest Wealth Management in Bentonville, Arkansas from June 2013 until December 2015. This is according to his online, public, FINRA BrokerCheck report.

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If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

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