Stoltmann Law Offices is investigating Joanne Astle, a broker with California-based Commonwealth Financial Network in San Diego. According to her online, public Financial Industry Regulatory Authority (FINRA) BrokerCheck report, Astle was alleged to have executed unauthorized trades, engaged in excessive trading involving closed-end funds and misrepresented and omitted material facts related to an investment. These are all against securities rules and regulations. Astle was registered with Dean Witter Reynolds, Smith Barney, Harris Upham, Drexel Burnham Lambert Inc., Sutro & Co., Prudential Securities Inc., Citigroup Global Markets, Merrill Lynch and Raymond James. She is currently registered with Commonwealth Financial Network in San Diego, and has been since August 2015. She has four customer disputes against her. Please call our Chicago-based securities law firm today to speak to an attorney for a free consultation about your options of suing Commonwealth in the FINRA arbitration forum. The call to us is free with no obligation. 312-332-4200.
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