Joseph Alan Marshall of Dallas Texas a stockbroker currently employed by Wells Fargo Clearing Services LLC is referenced in a customer initiated investment related written complaint which was resolved for $100,000.00 on October 19, 2016 based upon allegations Marshall mismanaged the customer’s investment account and placed the customer in direct investments that failed to conform to the customer’s objectives for investing.

Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Marshall is referenced in three more customer initiated investment related disputes pertaining to accusations of his violative conduct during the time that he was associated with Wachovia Securities. Specifically, a customer initiated investment related arbitration claim involving Marshall’s activities was settled for $125,000.00 in damages supported by allegations that the customer had been placed in variable annuity sub-accounts that were not suitable for the customer. New York Stock Exchange (NYSE) Arbitration No. 2003-011878 (June 2, 2004).

Subsequently, a customer initiated investment related arbitration claim concerning Marshall’s conduct was resolved for $149,999.00 in damages founded on accusations that Marshall executed transactions in the customer’s account that were not suitable for the customer, causing the customer’s assets to be over-concentrated in volatile and risky mutual fund investments. National Association of Securities Dealers (NASD) Arbitration No. 04-00233 (June 11, 2007). Then, a customer initiated investment related arbitration claim regarding Marshall’s activities was settled for $229,462.50 in damages based upon allegations against Marshall of placing the customer in mutual fund investments that were not appropriate for the customer’s retirement account. NASD Arbitration No. 03-09102 (Apr. 23, 2007).

Marshall has been registered with Wells Fargo Clearing Services LLC since March 24, 1999.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source. Questions or comments regarding the source or accuracy of any information, including any subsequent developments, should be directed to [email protected].

This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer.

Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at

Stockbroker Fraud. Securities Arbitration and Investment Fraud Lawyers.  
National Practice. Contingent Fee. Confidential Free Consultation. (877) SEC-ATTY

Tags: ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)


%d bloggers like this: