Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that California-based UBS Financial Services broker/adviser Joseph Caselle has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Caselle (CRD# 2277521).
Joseph Caselle has spent 24 years in the securities industry and has been registered with UBS Financial Services in Walnut Creek, California since August 2017. Previous registrations include Merrill Lynch in Walnut Creek, California; Banc of America Investment Services in Walnut Creek, California; WM Financial Services in Irvine, California; ASB Financial Services in Irvine, California; Wells Fargo Securities in San Francisco, California; ASB Financial Services in Irvine, California; Great Western Financial Services in Northridge, California; and Griffin Financial Services. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker with 17 US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Illinois, Michigan, Nevada, New Hampshire, New Mexico, New York, North Carolina, North Dakota, Oregon, South Carolina, Virginia and Washington.
According to his BrokerCheck report, Joseph Caselle has received one customer complaint.
In 2010 a customer alleged Joseph Caselle, while employed at Banc of America Investment Services, made unsuitable investment recommendations and misrepresented material facts in connection to a mutual fund product. The complaint settled in 2011 for $75,000.
If you or someone you know has complaints regarding Joseph Caselle, call the experienced attorneys at 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.