Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 11, 2017 indicate that former Arkansas-based Arvest Wealth Management broker Joe Treece has been suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Treece (CRD# 2925735).
Joe Treece has spent eighteen years in the securities industry and was most recently registered with Arvest Wealth Management in Bentonville, Arkansas (2013-2015). Previous registrations include Raymond James & Associates in Rogers, Arkansas; Morgan Stanley Smith Barney in Fayetteville, Arkansas; Morgan Stanley & Company in Fayetteville, Arkansas; Wachovia Securities in Grove, Oklahoma; AG Edwards & Sons in Grove, Oklahoma; and Pruco Securities in Newark, New Jersey. He is currently not registered with any state or firm.
According to his BrokerCheck report, Joe Treece has received three regulatory sanctions and was terminated from his former employer.
In December 2016 the State of Arkansas sanctioned Joe Treece following allegations he “borrowed money from a client on two separate occasions.” His registration was revoked.
In December 2016 FINRA sanctioned him following allegations he “failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.” He was issued a suspension.
In October 2016 FINRA sanctioned him following allegations he “failed to respond to FINRA request for information.”
In December 2015 Joe Treece was terminated from his position at Arvest Asset Management following a customer’s allegations he breached his fiduciary duty, committed fraud, embezzled funds, and converted funds.
If you have lost money investing with Joe Treece, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.