Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 19, 2016 indicate that California-based Commonwealth Financial Network broker/adviser Joanne Astle has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Astle (CRD# 851648).
Joanne Astle has spent 38 years in the securities industry and has been registered with Commonwealth Financial Network in San Diego, California since August 2015. Previous registrations include Raymond James & Associates in San Diego, California; Merrill Lynch in Indian Wells, California; Citigroup Global Markets in Palm Desert, California; Prudential Securities in New York, New York; Sutro & Company in San Francisco, California; Drexel Burnham Lambert; Smith Barney Harris Upham; and Dean Witter Reynolds. She is a registered broker and investment adviser with eight US states and territories: Arizona, California, Idaho, Illinois, Mississippi, New Jersey, Oregon and Washington.
According to her BrokerCheck report, Joanne Astle has received three customer complaints and one denied customer complaint.
In September 2015, a customer alleged Joanne Astle, while employed at Raymond Jams & Associates, executed unauthorized trades. The customer sought $574,000 in damages in the complaint, which was denied.
In 2014, a customer alleged Joanne Astle, while employed at Merrill Lynch, engaged in excessive trading involving closed end funds. The complaint settled for $50,000.
In 2013, a customer alleged Joanne Astle, while employed at Merrill Lynch, executed excessive trades and misrepresented and omitted material facts. The complaint settled in 2014 for $35,000.
In 1992, a customer alleged Joanne Astle, while employed at Prudential Securities, engaged in unspecified misconduct. The complaint settled for an unspecified amount.
If you or someone you know has complaints regarding Joanne Astle, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.