James Patineau Has Received a Regulatory Sanction

James Patineau Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 30, 2018 indicate that Minnesota-based Wells Fargo Clearing Services broker/adviser James Patineau has been sanctioned by state regulatory authorities in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Patineau (CRD# 4393739).

James Patineau has spent sixteen years in the securities industry and has been registered with Wells Fargo Clearing Services in Cottage Grove, Minnesota since 2011. Previous registrations include Wells Fargo Investments in Cottage Grove, Minnesota (2008-2011) and Financial Network Investment Corporation in Roseville, Minnesota (2001-2008). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 23, 2001, and Series 7 (General Securities Representative Examination), which he obtained on July 16, 2001. He is a registered broker and investment adviser with ten US states and territories: Arizona, California, Colorado, Florida, Minnesota, Missouri, Nebraska, South Carolina, Texas and Wisconsin. He is registered with six self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, James Patineau has received one regulatory sanction.

In November 2017 the State of Minnesota sanctioned him in connection to allegations he added notes to a system about a customer transaction “to justify placing an order for an annuity” despite the fact that he had not obtained clear consent to place that transaction. He was ordered to cease and desist.

If you have complaints regarding James Patineau, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on a contingency basis: we only receive payment if and when you recover money. You may have a limited window by law to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.