Joe David Gainer Jr, a former Wells Fargo of Marianna, Florida, broker/financial advisor, was barred by the Financial Industry Regulatory Authority (FINRA) over allegations that he accepted a $3 million gift from a client.
Without admitting or denying FINRA’s findings, Joe David Gainer Jr consented to the sanction and to the entry of findings that he allegedly refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into the internal review disclosed on an amended Form U5 filed by his member firm. FINRA’s findings stated that FINRA's investigation related to whether Gainer allegedly failed to disclose a position of trust in relation to, and receiving a $3 million dollar gift from, one of his firm clients.
According to a recent article in Financial Advisor IQ, Joe David Gainer Jr began his career at Edward Jones and also worked for Merrill Lynch, LPL Financial, Hancock Investment Services and Suntrust Investment Services before starting at Wells Fargo in November of 2016 in Marianna, Florida. The article states that in June of 2022, Gainer voluntarily resigned from Wells Fargo. The following month, Wells Fargo amended Gainer’s Form U5 termination notice to report an internal investigation into his conduct. In March of 2023, Wells Fargo again amended the form, “reporting the results of the firm’s internal review.”
According to FINRA’s BrokerCheck, Joe David Gainer Jr, had been in the securities industry for 19 years and was listed with 6 firms. Gainer has 2 disclosures on his FINRA CRD report, one is the “Regulatory” barring him from the industry, and the other is a “Customer Dispute,” from 2020 that was denied.
If you’ve experienced financial losses due to the actions or recommendations of the former Wells Fargo Clearing Services, LLC of Marianna, Florida, broker/financial advisor, Joe David Gainer Jr, contact the Florida-based Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis, no fee to you if no recovery.
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