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Wells Fargo broker, Joseph B. Dirago, Jr., suspended and fined

shutterstock_163376417Current Wells Fargo Advisor broker, Joseph B. Dirago, Jr. was suspended from the financial industry for fifteen business days and fined $5,000 on March 19, 2015.

According to the Letter of Acceptance, Waiver and Consent, while he was registered with Wells Fargo Advisors in 2010, Joseph B. Dirago, Jr. effected 78 transactions on behalf of a customer who had not given his written authorization.

Joseph B. Dirago, Jr. has five customer initiated complaints listed on his BrokerCheck Report. According to his Report, on February 15, 2013 a customer complaint alleged Joseph B. Dirago, Jr. made unsuitable investment recommendations to the investor around May 2011. The compliant was settled for $250,000

On December 6, 2001 a customer initiated complaint was settled against Joseph B Dirago, Jr. for $30,000. That complaint alleged unsuitable investment recommendations and that Joseph B. Dirago, Jr. misrepresented material facts regarding the investments from 2000 to 2003.

Joseph B. Dirago, Jr. has been registered with Well Fargo Advisors in their Concord Park, San Antonio, Texas office since 2012. Joseph B Dirago, Jr. has also worked for Morgan Stanley, Morgan Stanley & Co., Inc., Morgan Stanley DW, Inc. Citigroup Global Markets, Inc. Investment Professionals, Inc. Prudential Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith.

Joseph B. Dirago, Jr. has been in the securities industry for 30 years and he is currently still employed by Wells Fargo Advisors.

If you or someone you know has lost money investing with Joseph B Dirago, Jr. Well Fargo Advisors, or one of their other brokers, you may be entitled to full recovery of your losses. The attorneys at Fitapelli Kurta prosecute cases on behalf of investors like you who have lost money as a result of unsuitable investments. These cases are taken on a contingency fee basis only, which means our firm will not receive any compensation whatsoever unless and until you recover money.

Cases are filed with the Financial Industry Regulatory Authority (FINRA) and will submit to arbitration. Fitapelli Kurta has filed hundreds of cases before FINRA and has recovered millions on behalf of investors who have fallen victim to broker misconduct. Do not delay. Call 877 – 238 – 4175 to speak directly to an attorney and further discuss the merits of your case.

Our consultations are always free.

Call 877 – 238 – 4175 now.

 

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