Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that former Ohio-based Wells Fargo Clearing Services broker/adviser Scott Polish has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Polish (CRD# 2165523).
Scott Polish has spent 25 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Mentor, Ohio (2008-2017). Previous registrations include Citigroup Global Markets in Pepper Pike, Ohio (2001-2008); First Union Securities in St. Louis, Missouri (1999-2001); First Union Capital Markets in Charlotte, North Carolina (1999); McDonald Investments in Cleveland, Ohio (1993-1999); Olde Discount Corporation in Detroit, Michigan (1991-1993); and Painewebber in Weehawken, New Jersey (1991). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 10, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 11, 1991; Series 31 (Futures Managed Funds Examination), which he obtained on July 7, 2000; Series 7 (General Securities Representative Examination), which he obtained on August 16, 1991; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on April 28, 1993; and Series 4 (Registered Options Principal Examination), which he obtained on March 18, 1993. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one FINRA sanction and one customer complaint, and he was discharged from a former employer in connection to alleged rule violations.
In May 2017 FINRA sanctioned him in connection to allegations he failed to respond to a request for documents and information during an investigation into his alleged conversion of elderly customer’s funds. He was consequently barred from acting as a broker or otherwise associating with a broker-dealer firm.
In April 2017 he was terminated from his position at Wells Fargo Clearing Services in connection to allegations he admitted to making transfers from customer accounts to pay his personal credit card.
In March 2017 a customer alleged Scott Polish, while employed at Wells Fargo Advisors, used her account to pay his personal credit card. The complaint settled for more than $468,800.
If you have lost money investing with Scott Polish, 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 by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.