Switch to ADA Accessible Theme
Close Menu
Free Consultation: 888-976-6111

Joseph Clottey: Georgia Financial Advisor Barred By Regulator

Joseph Clottey of Lawrenceville, Georgia has been barred by the Financial Industry Regulatory Authority (FINRA) as of June 19th, 2018. This comes after his employment was terminated by Merrill Lynch for “making incomplete entries to an internal tracking system of client opportunities, resulting in otherwise unearned compensation.” 

Subsequently, FINRA made multiple requests for Clottey to appear on the record for testimony related to its investigation of the matter, but Clottey failed to appear. As a result, FINRA has barred Clottey from working in the securities industry and associating with any FINRA member in any capacity. Therefore, he is no longer associated with any FINRA registered firm. 

Clottey had been licensed since 1996, and spent time at twelve different FINRA member firms during his 20 years in the business.  He was last registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated from October 2014 to July 2016, when he was terminated. It appears he was last employed with Merrill Lynch’s Merrill Edge platform. 

If you believe you lost money or were sold unsuitable investments by Joseph Clottey, you may be entitled to recovery from Merrill Lynch, Pierce, Fenner & Smith Incorporated.  Please contact us at 888-976-6111 for a free consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Jonathan Krueger: ProShares ETF Complaint Against Larson Financial Rep

    Jonathan Krueger (CRD# 4416059), a broker and financial advisor based in St. Louis, has received a pending investor complaint alleging...

    Read More
  • Brian Visconti: $200K Complaint Against Fired Raymond James Rep

    A pending investor complaint alleges former Raymond James & Associates representative Brian Visconti (CRD# 5851551) made improper investment recommendations. Financial...

    Read More
  • Westlake Village Broker Thomas Swan Under SEC Investigation

    The US Securities and Exchange Commission is investigating Westlake Village, California stockbroker Thomas Swan (CRD# 1698430) over alleged violations of...

    Read More
  • New Investor Complaints Against Sunrise Investment’s Celia Zhang

    Investor complaints against San Gabriel stockbroker Celia Zhang (CRD# 5918387) allege that she recommended unsuitable investments. Financial Industry Regulatory Authority...

    Read More
  • Previous
  • Next