Securities Lawyers Blog
According to BrokerCheck records financial advisor George Puliafico (Puliafico), employed by Raymond James Financial Services, Inc. (Raymond James), has been subject to one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA) Puliafico has been accused by a customer of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). The law offices of Gana Weinstein LLP continue to report on investor related losses and potential legal remedies due to recommendations to investor in oil and gas and commodities related investments.
The claim was filed in April 2018 and alleges breach of fiduciary duty, negligent supervision, and breach of contract. The customer claimed $2,000,000 in damages and the claim is currently pending.
Our firm handles claims and is also investigating securities claims against brokerage firms over sales practices related to the recommendations of oil & gas and commodities products such as exchange traded notes (ETNs), structured notes, private placements, master limited partnerships (MLPs), leveraged ETFs, mutual funds, and individual stocks.