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
  • Metric Rep Brett Ellen Has 6-Figure Investment Complaints

    Las Vegas stockbroker Bret Ellen (CRD# 1460478) allegedly recommended unsuitable investments that caused six-figure losses, per investor complaints reported to...

    Read More
  • Danny Young: 6-Figure Complaint Against Lake City, Adel Rep

    Cetera Advisor Networks representative Danny Young (CRD# 4115155) allegedly recommended risky investments that led to substantial losses, according to a...

    Read More
  • Gerald Brodsky: Barred NYC Rep Has $800k Concord Group Complaint

    Ex-Dinosaur Financial Group representative Gerald Brodsky (CRD# 1172647) was barred by the Financial Industry Regulatory Authority (FINRA) from acting as...

    Read More
  • 7-Figure Complaints Against Long Island Rep Joseph Valdini

    Ex-Aegis Capital stockbroker Joseph Valdini (CRD# 5517610) allegedly caused investors more than $2 million in losses, according to customer complaints...

    Read More
  • Previous
  • Next