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.